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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Purchase Option | $ 7.25 | 04/16/2002 | A | 5,000 | 04/16/2003(7) | 04/16/2012 | Common Stock | 5,000 | $ 0 | 5,000 | D | ||||
Common Stock Purchase Option | $ 7.25 | 03/18/2003 | A | 10,000 | 03/18/2004(8) | 03/18/2013 | Common Stock | 10,000 | $ 0 | 10,000 | D | ||||
Common Stock Purchase Option | $ 13.95 | 12/16/2003 | A | 8,500 | 12/16/2004(9) | 12/16/2013 | Common Stock | 8,500 | $ 0 | 8,500 | D | ||||
Common Stock Purchase Option | $ 6.25 | 10/28/2005 | M | 100 | 02/16/2000 | 02/16/2009 | Common Stock | 100 | $ 0 | 14,900 | D | ||||
Common Stock Purchase Option | $ 6.25 | 10/28/2005 | M | 2,800 | 02/16/2000 | 02/16/2009 | Common Stock | 2,800 | $ 0 | 12,100 | D | ||||
Common Stock Purchase Option | $ 6.25 | 11/01/2005 | M | 5,100 | 02/16/2000 | 02/16/2009 | Common Stock | 5,100 | $ 0 | 7,000 | D | ||||
Stock Appreciation Rights | $ 22.65 | 04/24/2006 | A | 6,826 | 04/24/2007(10) | 04/24/2016 | Common Stock | 6,826 | $ 0 | 32,645 (11) | D | ||||
Common Stock Purchase Option | $ 6.25 | 05/30/2008 | M | 3,500 | 02/16/2001 | 02/16/2009 | Common Stock | 3,500 | $ 0 | 3,500 | D | ||||
Common Stock Purchase Option | $ 6.25 | 02/09/2009 | M | 3,500 | 02/16/2001 | 02/16/2009 | Common Stock | 3,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Anderson Julie L 2000 MCKINNEY AVENUE SUITE 820 DALLAS, TX 75201 |
Controller |
/s/ Julie Anderson | 03/23/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The restricted stock units were granted under the Company's 2005 Long-Term Incentive Plan as part of compensation for employment. Each restricted stock unit represents a contingent right to receive one share of TCBI common stock. |
(2) | The restricted stock units vest in two equal annual installments beginning January 31, 2007. Vested shares will be delivered to the reporting person within 2 1/2 months following the close of the calendar year in which the restricted stock units vested. |
(3) | The restricted stock units vest in five equal annual installments beginning April 24, 2007. Vested shares will be delivered to the reporting person within 2 1/2 months following the close of the calendar year in which the restricted stock units vested. |
(4) | The restricted stock units vest in five equal annual installments beginning February 22, 2008. Vested shares will be delivered to the reporting person within 2 1/2 months following the close of the calendar year in which the restricted stock units vested. |
(5) | The restricted stock units vest in four equal annual installments beginning November 3, 2009. Vested shares will be delivered to the reporting person within 2 1/2 months following the close of the calendar year in which the restricted stock units vested. |
(6) | Includes 2,907 shares of common stock acquired under the Company's Employee Stock Purchase Plan from December 31, 2000 to December 31, 2008. |
(7) | Common Stock Purchase Options vest in five equal, annual installments begining on April 16, 2003. |
(8) | Common Stock Purchase Options vest in five equal, annual installments begining on March 18, 2004. |
(9) | Common Stock Purchase Options vest in five equal, annual installments begining on December 16, 2004. |
(10) | 2,145 of the stock appreciation rights vest in five equal annual installments beginning April 24, 2007. |
(11) | 4,681 of the stock appreciation rights have expired due to certain performance measures of the Company not being met. |