Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Construction Partners, Inc.ROAD · Entity 3830 | Director · 10% owner | October 08, 2026 | October 13, 2026 |
| Suncrete, Inc.RMIX · Entity 4661 | Director · 10% owner | April 20, 2026 | April 22, 2026 |
| Veritex Holdings, Inc.VBTX · Entity 74048 | Director | July 01, 2021 | July 02, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Construction Partners, Inc.
Report date October 08, 2026 · Filed October 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 4,008 |
Reported balance
After 2026-10-08 transaction · row 1
1 source rowRow 1 · 2026-10-08 · Other · Disposed 20,160 · Balance 4,008 F1: The reported transaction represents a privately negotiated exchange of shares of Class A common stock, par value $0.001 per share ("Class A common stock"), of Construction Partners, Inc. (the "Issuer"), for an equal number of shares of Class B common stock, par value $0.001 per share, of the Issuer ("Class B common stock") with a holder of Class B common stock. There was no sale price associated with the share exchange, and no profit was realized by the reporting person. The reporting person has agreed to voluntarily disgorge to the Issuer any profits realized from matchable transactions occurring within six months of the transactions reported herein. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 120,175 |
Reported balance
After 2026-10-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-10-08 · Other · Acquired 20,160 · Balance 120,175 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F1: The reported transaction represents a privately negotiated exchange of shares of Class A common stock, par value $0.001 per share ("Class A common stock"), of Construction Partners, Inc. (the "Issuer"), for an equal number of shares of Class B common stock, par value $0.001 per share, of the Issuer ("Class B common stock") with a holder of Class B common stock. There was no sale price associated with the share exchange, and no profit was realized by the reporting person. The reporting person has agreed to voluntarily disgorge to the Issuer any profits realized from matchable transactions occurring within six months of the transactions reported herein. F3: Includes 24,000 restricted shares of Class B common stock with time-based vesting criteria granted to Mr. Fleming under the Construction Partners, Inc. 2024 Restricted Stock Plan that vest as follows: (i) 16,000 shares on January 1, 2027 and (ii) 8,000 shares on January 1, 2028. Under the terms of the award agreement, Mr. Fleming has sole voting power with respect to the shares. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ned N. Fleming III Legacy Trust | 2,000 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 2,000 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F4: These securities of the Issuer are directly held by Ned N. Fleming III Legacy Trust, a trust of which Ned N. Fleming, III is the sole trustee and sole beneficiary. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such trust. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy NNFIII ROAD, LLC | 24,362 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 24,362 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F5: NNFIII ROAD, LLC is a limited liability company controlled by Mr. Fleming. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy SunTx Capital Partners II, L.P. | 2,488,322 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 2,488,322 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F6: The general partner of each of SunTx Capital Partners II, L.P. ("SunTx Partners II") and SunTx Capital Partners II Dutch Investors, L.P. ("SunTx Partners Dutch LP") (SunTx Partners Dutch LP and SunTx Partners II are together referred to herein as the "SunTx Funds") is SunTx Capital Partners II G.P., L.P. ("SunTx Partners II GP"). The general partner of SunTx Partners II GP is SunTx Capital II Management Corp. ("SunTx Capital II Management") (SunTx Capital II Management and SunTx Partners II GP are referred to herein as the "SunTx Group"). Mr. Fleming, a director of the Issuer, is the majority shareholder and sole director of SunTx Capital II Management. F7: (Continued from Footnote 6) Mr. Fleming may be deemed to beneficially own securities of the Issuer held by certain entities in the SunTx Group, and the SunTx Group may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy SunTx Capital Partners II Dutch Investors, L.P. | 1,254,746 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,254,746 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F6: The general partner of each of SunTx Capital Partners II, L.P. ("SunTx Partners II") and SunTx Capital Partners II Dutch Investors, L.P. ("SunTx Partners Dutch LP") (SunTx Partners Dutch LP and SunTx Partners II are together referred to herein as the "SunTx Funds") is SunTx Capital Partners II G.P., L.P. ("SunTx Partners II GP"). The general partner of SunTx Partners II GP is SunTx Capital II Management Corp. ("SunTx Capital II Management") (SunTx Capital II Management and SunTx Partners II GP are referred to herein as the "SunTx Group"). Mr. Fleming, a director of the Issuer, is the majority shareholder and sole director of SunTx Capital II Management. F7: (Continued from Footnote 6) Mr. Fleming may be deemed to beneficially own securities of the Issuer held by certain entities in the SunTx Group, and the SunTx Group may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Fleming Family Management Trust | 4,000 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 4,000 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F8: These securities of the Issuer are directly held by The Fleming Family Management Trust, a trust of which Mr. Fleming's spouse is the sole trustee and sole beneficiary. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such trust. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Malachi Holdings Limited Partnership | 1,535,857 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 1,535,857 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F9: These securities of the Issuer are directly held by Malachi Holdings Limited Partnership, a limited partnership controlled by Mr. Fleming. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such limited partnership. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy SunTx Capital Savings Plan, FBO Ned N. Fleming, III | 10,621 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 10,621 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F10: These securities of the Issuer are directly held by SunTx Capital Savings Plan, FBO Ned N. Fleming, III, a 401(k) account for the benefit of Mr. Fleming. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Boyle Fleming & Co. Inc. | 272 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 272 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F11: These securities of the Issuer are directly held by Boyle Fleming & Co. Inc., a corporation controlled by Mr. Fleming. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such corporation. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy SunTx Capital II Management Corp. | 674 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 674 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F6: The general partner of each of SunTx Capital Partners II, L.P. ("SunTx Partners II") and SunTx Capital Partners II Dutch Investors, L.P. ("SunTx Partners Dutch LP") (SunTx Partners Dutch LP and SunTx Partners II are together referred to herein as the "SunTx Funds") is SunTx Capital Partners II G.P., L.P. ("SunTx Partners II GP"). The general partner of SunTx Partners II GP is SunTx Capital II Management Corp. ("SunTx Capital II Management") (SunTx Capital II Management and SunTx Partners II GP are referred to herein as the "SunTx Group"). Mr. Fleming, a director of the Issuer, is the majority shareholder and sole director of SunTx Capital II Management. F7: (Continued from Footnote 6) Mr. Fleming may be deemed to beneficially own securities of the Issuer held by certain entities in the SunTx Group, and the SunTx Group may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy SunTx Capital Partners II G.P., L.P. | 23 |
Reported balance
Holding disclosure · report date 2026-10-08 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 23 F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock. F6: The general partner of each of SunTx Capital Partners II, L.P. ("SunTx Partners II") and SunTx Capital Partners II Dutch Investors, L.P. ("SunTx Partners Dutch LP") (SunTx Partners Dutch LP and SunTx Partners II are together referred to herein as the "SunTx Funds") is SunTx Capital Partners II G.P., L.P. ("SunTx Partners II GP"). The general partner of SunTx Partners II GP is SunTx Capital II Management Corp. ("SunTx Capital II Management") (SunTx Capital II Management and SunTx Partners II GP are referred to herein as the "SunTx Group"). Mr. Fleming, a director of the Issuer, is the majority shareholder and sole director of SunTx Capital II Management. F7: (Continued from Footnote 6) Mr. Fleming may be deemed to beneficially own securities of the Issuer held by certain entities in the SunTx Group, and the SunTx Group may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported transaction represents a privately negotiated exchange of shares of Class A common stock, par value $0.001 per share ("Class A common stock"), of Construction Partners, Inc. (the "Issuer"), for an equal number of shares of Class B common stock, par value $0.001 per share, of the Issuer ("Class B common stock") with a holder of Class B common stock. There was no sale price associated with the share exchange, and no profit was realized by the reporting person. The reporting person has agreed to voluntarily disgorge to the Issuer any profits realized from matchable transactions occurring within six months of the transactions reported herein.
F2: Each share of Class B common stock is convertible into one share of Class A common stock (i) at any time at the option of the holder, (ii) automatically upon any transfer that is not a Permitted Transfer (as defined in the Issuer's Amended and Restated Certificate of Incorporation) or (iii) upon the election of the holders of a majority of the then-outstanding shares of Class B common stock.
F3: Includes 24,000 restricted shares of Class B common stock with time-based vesting criteria granted to Mr. Fleming under the Construction Partners, Inc. 2024 Restricted Stock Plan that vest as follows: (i) 16,000 shares on January 1, 2027 and (ii) 8,000 shares on January 1, 2028. Under the terms of the award agreement, Mr. Fleming has sole voting power with respect to the shares.
F4: These securities of the Issuer are directly held by Ned N. Fleming III Legacy Trust, a trust of which Ned N. Fleming, III is the sole trustee and sole beneficiary. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such trust. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F5: NNFIII ROAD, LLC is a limited liability company controlled by Mr. Fleming.
F6: The general partner of each of SunTx Capital Partners II, L.P. ("SunTx Partners II") and SunTx Capital Partners II Dutch Investors, L.P. ("SunTx Partners Dutch LP") (SunTx Partners Dutch LP and SunTx Partners II are together referred to herein as the "SunTx Funds") is SunTx Capital Partners II G.P., L.P. ("SunTx Partners II GP"). The general partner of SunTx Partners II GP is SunTx Capital II Management Corp. ("SunTx Capital II Management") (SunTx Capital II Management and SunTx Partners II GP are referred to herein as the "SunTx Group"). Mr. Fleming, a director of the Issuer, is the majority shareholder and sole director of SunTx Capital II Management.
F7: (Continued from Footnote 6) Mr. Fleming may be deemed to beneficially own securities of the Issuer held by certain entities in the SunTx Group, and the SunTx Group may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
F8: These securities of the Issuer are directly held by The Fleming Family Management Trust, a trust of which Mr. Fleming's spouse is the sole trustee and sole beneficiary. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such trust. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
F9: These securities of the Issuer are directly held by Malachi Holdings Limited Partnership, a limited partnership controlled by Mr. Fleming. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such limited partnership. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
F10: These securities of the Issuer are directly held by SunTx Capital Savings Plan, FBO Ned N. Fleming, III, a 401(k) account for the benefit of Mr. Fleming.
F11: These securities of the Issuer are directly held by Boyle Fleming & Co. Inc., a corporation controlled by Mr. Fleming. Mr. Fleming may be deemed to beneficially own securities of the Issuer held by such corporation. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Suncrete, Inc.
Report date April 20, 2026 · Filed April 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 144,000 |
Reported balance
After 2026-04-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-20 · Grant · Acquired 144,000 · Balance 144,000 F1: Each share of Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), of Suncrete, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock"). In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F2: The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F3: Represents 144,000 restricted shares of Class B Common Stock with time-based vesting criteria granted to Mr. Fleming under the Suncrete, Inc. 2026 Omnibus Incentive Plan that vest as follows: (i) 96,000 shares on April 20, 2028 and (ii) 48,000 shares on April 20, 2029; provided, that Mr. Fleming is providing services to the Issuer through each such date. Under the terms of the award agreement, Mr. Fleming has sole voting power with respect to the shares. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Dothan Independent GP, LP | 5,300,000 |
Reported balance
Holding disclosure · report date 2026-04-20 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 5,300,000 F1: Each share of Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), of Suncrete, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock"). In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F2: The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F4: These shares of Class B Common Stock of the Issuer are directly held by Dothan Independent GP, LP ("Dothan Independent"). The general partner of Dothan Independent is Dothan Sponsor, LLC ("Dothan Sponsor"). Ned N. Fleming, III is the sole manager of Dothan Sponsor. Each of Dothan Independent, Dothan Sponsor and Mr. Fleming may be deemed to beneficially own securities of the Issuer held by Dothan Independent. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Dothan Concrete Investors, LLC | 18,414,609 |
Reported balance
Holding disclosure · report date 2026-04-20 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 18,414,609 F1: Each share of Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), of Suncrete, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock"). In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F2: The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F5: These shares of Class B Common Stock of the Issuer are directly held by Dothan Concrete Investors, LLC ("Dothan Concrete Investors"). The manager of Dothan Concrete Investors is Dothan Concrete Manager, LLC ("Dothan Concrete Manager"). The manager of Dothan Concrete Manager is SunTx Capital Management Corp. ("SunTx Capital Management"). Mr. Fleming is the sole shareholder and director of SunTx Capital Management. Each of Dothan Concrete Manager, SunTx Capital Management and Mr. Fleming may be deemed to beneficially own securities of the Issuer held by Dothan Concrete Investors. F6: Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. |
| Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2031-04-08 | IndirectBy Dothan Independent GP, LP | 398,800 |
Reported balance
Holding disclosure · report date 2026-04-20 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 398,800 F4: These shares of Class B Common Stock of the Issuer are directly held by Dothan Independent GP, LP ("Dothan Independent"). The general partner of Dothan Independent is Dothan Sponsor, LLC ("Dothan Sponsor"). Ned N. Fleming, III is the sole manager of Dothan Sponsor. Each of Dothan Independent, Dothan Sponsor and Mr. Fleming may be deemed to beneficially own securities of the Issuer held by Dothan Independent. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), of Suncrete, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock"). In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders.
F2: The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire.
F3: Represents 144,000 restricted shares of Class B Common Stock with time-based vesting criteria granted to Mr. Fleming under the Suncrete, Inc. 2026 Omnibus Incentive Plan that vest as follows: (i) 96,000 shares on April 20, 2028 and (ii) 48,000 shares on April 20, 2029; provided, that Mr. Fleming is providing services to the Issuer through each such date. Under the terms of the award agreement, Mr. Fleming has sole voting power with respect to the shares.
F4: These shares of Class B Common Stock of the Issuer are directly held by Dothan Independent GP, LP ("Dothan Independent"). The general partner of Dothan Independent is Dothan Sponsor, LLC ("Dothan Sponsor"). Ned N. Fleming, III is the sole manager of Dothan Sponsor. Each of Dothan Independent, Dothan Sponsor and Mr. Fleming may be deemed to beneficially own securities of the Issuer held by Dothan Independent. Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F5: These shares of Class B Common Stock of the Issuer are directly held by Dothan Concrete Investors, LLC ("Dothan Concrete Investors"). The manager of Dothan Concrete Investors is Dothan Concrete Manager, LLC ("Dothan Concrete Manager"). The manager of Dothan Concrete Manager is SunTx Capital Management Corp. ("SunTx Capital Management"). Mr. Fleming is the sole shareholder and director of SunTx Capital Management. Each of Dothan Concrete Manager, SunTx Capital Management and Mr. Fleming may be deemed to beneficially own securities of the Issuer held by Dothan Concrete Investors.
F6: Mr. Fleming disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Fleming is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Veritex Holdings, Inc.
Report date July 01, 2021 · Filed July 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,382 |
Reported balance
After 2021-07-01 transaction · row 1
1 source rowRow 1 · 2021-07-01 · Exercise / conversion · Acquired 1,276 · Balance 15,382 F1: Each restricted stock unit represents a right to receive at settlement one share of common stock of the Company. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 2,553 |
Reported balance
After 2021-07-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-07-01 · Exercise / conversion · Disposed 1,276 · Balance 2,553 F1: Each restricted stock unit represents a right to receive at settlement one share of common stock of the Company. F2: The reporting person was granted 5,105 restricted stock units, vesting in four equal installments on the first calendar day following the end of each quarter during fiscal year 2021. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-07-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-07-01 · Other · Disposed 2,553 · Balance 0 F1: Each restricted stock unit represents a right to receive at settlement one share of common stock of the Company. F3: The reporting persons determination to not stand for re-election on the Board for the remainder of the year resulted in the remaining RSUs, 2,553, being forfeited as of July 1, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a right to receive at settlement one share of common stock of the Company.
F2: The reporting person was granted 5,105 restricted stock units, vesting in four equal installments on the first calendar day following the end of each quarter during fiscal year 2021.
F3: The reporting persons determination to not stand for re-election on the Board for the remainder of the year resulted in the remaining RSUs, 2,553, being forfeited as of July 1, 2021.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 21, 2019 Filed May 23, 2019 21:14 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 1,495 | $0.00 | $0.00 |
DisclosureSEC source: 0001501570-19-000149 · wf-form4_155866046846537.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 13, 2019 Filed May 15, 2019 17:40 UTC | Construction Partners, Inc. ROAD · Entity 3830 | GrantClass A Common Stock | 59,288 | $12.65 | $749,993.20 |
DisclosureSEC source: 0001718227-19-000038 · wf-form4_155794200788470.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,288 F1 · shares: Represents restricted shares of Class A common stock, par value $0.001 ("Class A Common Stock"), of Construction Partners, Inc. (the "Issuer") granted under the Construction Partners, Inc. 2018 Equity Incentive Plan that will vest as to two-thirds of the shares on January 1, 2021 and as to the remaining one-third of the shares on January 1, 2022. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass B Common Stock · Derivative | 3,235,516 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · derivative · entry 6 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 2,661,970 Underlying: Class A Common Stock · 3,235,516 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.exercise_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.expiration_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass B Common Stock · Derivative | 5,942,789 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · derivative · entry 5 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 4,889,339 Underlying: Class A Common Stock · 5,942,789 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.exercise_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.expiration_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass B Common Stock · Derivative | 10,046,695 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · derivative · entry 4 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 8,265,763 Underlying: Class A Common Stock · 10,046,695 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.exercise_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F1 · derivative.expiration_date: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F2 · ownership.nature: These securities of the Issuer are directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass A Common Stock | 3,235,516 | $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · nonDerivative · entry 3 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 3,235,516 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass A Common Stock | 5,942,789 | $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · nonDerivative · entry 2 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 5,942,789 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 17:48 UTC | Construction Partners, Inc. ROAD · Entity 3830 | ConversionClass A Common Stock | 10,046,695 | $0.00 | $0.00 |
DisclosureSEC source: 0001739424-19-000002 · wf-form4_155562409420035.xml · nonDerivative · entry 1 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 10,046,695 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: As permitted by the amended and restated certificate of incorporation of Construction Partners, Inc. (the "Issuer"), the reporting person has elected to convert the reported number of shares of Class B Common Stock, par value $0.001 per share, of the Issuer ("Class B Common Stock") on a one-for-one basis into shares of Class A Common Stock, par value $0.001 per share, of the Issuer ("Class A Common Stock"). Holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. Holders of Class A Common Stock are entitled to one vote per share, and holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire and are convertible on a cashless basis into shares of Class A Common Stock at any time upon the election of the holder thereof. F2 · ownership.nature: These securities of the Issuer are directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F3 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP (defined in footnote 4), SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds (defined in footnote 5). Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 16:48 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | PurchaseCommon Stock | 1,500 | $25.83 | $38,739.75 |
DisclosureSEC source: 0001501570-19-000048 · wf-form4_154931690741487.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Wife Disclosed balance after: 1,500 Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 16:00 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001501570-19-000023 · wf-form4_154654924021821.xml · derivative · entry 3 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unity represents a right to receive at settlement one share of common stock of the Company. F4 · derivative.exercise_date: On March 22, 2018 the reporting person was granted 2,000 restricted stock units which vest in four equal installments on the last calendar day for each quarter during 2018. F4 · derivative.expiration_date: On March 22, 2018 the reporting person was granted 2,000 restricted stock units which vest in four equal installments on the last calendar day for each quarter during 2018. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 16:00 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001501570-19-000023 · wf-form4_154654924021821.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unity represents a right to receive at settlement one share of common stock of the Company. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 16:03 UTC | Construction Partners, Inc. ROAD · Entity 3830 | PurchaseClass A Common Stock | 4,000 | $8.47 | $33,895.20 |
DisclosureSEC source: 0001707712-18-000004 · wf-form4_154584019883401.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 4,000 Read SEC document |
| September 30, 2018 Filed Oct 1, 2018 14:07 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001501570-18-000205 · wf-form4_153841724589046.xml · derivative · entry 3 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unity represents a right to receive at settlement one share of common stock of the Company. F4 · derivative.exercise_date: On March 22, 2018 the reporting person was granted 2,000 restricted stock units which vest in four equal installments on the last calendar day for each quarter during 2018. F4 · derivative.expiration_date: On March 22, 2018 the reporting person was granted 2,000 restricted stock units which vest in four equal installments on the last calendar day for each quarter during 2018. Read SEC document |
| September 30, 2018 Filed Oct 1, 2018 14:07 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001501570-18-000205 · wf-form4_153841724589046.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unity represents a right to receive at settlement one share of common stock of the Company. Read SEC document |
| June 30, 2018 Filed Aug 24, 2018 18:39 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-023261 · doc4.xml · derivative · entry 6 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units were convertible into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer (the "Board"), received shares of common stock of the Issuer on a one-for-one basis based on the 500 restricted stock units that vested on each of March 31, 2018 and June 30, 2018. F5 · derivative.exercise_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. F5 · derivative.expiration_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. Read SEC document |
| June 30, 2018 Filed Aug 24, 2018 18:39 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-023261 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units were convertible into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer (the "Board"), received shares of common stock of the Issuer on a one-for-one basis based on the 500 restricted stock units that vested on each of March 31, 2018 and June 30, 2018. Read SEC document |
| May 29, 2018 Filed May 31, 2018 17:19 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 57,862 | $11.16 | $645,739.92 |
DisclosureSEC source: 0000899243-18-014567 · doc4.xml · derivative · entry 3 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 5,897,486 Underlying: Class A Common Stock · 57,862 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_price: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F3 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.expiration_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F6 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 29, 2018 Filed May 31, 2018 17:19 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 106,276 | $11.16 | $1,186,040.16 |
DisclosureSEC source: 0000899243-18-014567 · doc4.xml · derivative · entry 2 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 10,832,128 Underlying: Class A Common Stock · 106,276 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_price: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F3 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.expiration_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F5 · ownership.nature: These securities of the Issuer are directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 29, 2018 Filed May 31, 2018 17:19 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 179,668 | $11.16 | $2,005,094.88 |
DisclosureSEC source: 0000899243-18-014567 · doc4.xml · derivative · entry 1 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 18,312,458 Underlying: Class A Common Stock · 179,668 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_price: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F3 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.exercise_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: Each share of Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), of Construction Partners, Inc. (the "Issuer") is convertible at any time at the option of the holder thereof into one share of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. F2 · derivative.expiration_date: (Continued from Footnote 1) The shares of Class B Common Stock reported as sold in this Form 4 were sold to the underwriters of the Issuer's initial public offering pursuant to the exercise of the underwriters' overallotment option and automatically converted into shares of Class A Common Stock when transferred to the buyers. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F4 · ownership.nature: These securities of the Issuer are directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 371,968 | $11.16 | $4,151,162.88 |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 9 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 5,955,348 Underlying: Class A Common Stock · 371,968 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F8 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F6 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 683,206 | $11.16 | $7,624,578.96 |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 8 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 10,938,404 Underlying: Class A Common Stock · 683,206 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F8 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F5 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | SaleClass B Common Stock · Derivative | 1,155,008 | $11.16 | $12,889,889.28 |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 7 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 18,492,126 Underlying: Class A Common Stock · 1,155,008 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F8 · price: This sales price takes into account the $0.84 per share amount of underwriting discounts and commissions for these sales to the underwriters of the Issuer's initial public offering. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F4 · ownership.nature: These securities of the Issuer are or were directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | GrantClass B Common Stock · Derivative | 6,327,316 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 6 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 6,327,316 Underlying: Class A Common Stock · 6,327,316 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F6 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | GrantClass B Common Stock · Derivative | 11,621,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 5 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 11,621,610 Underlying: Class A Common Stock · 11,621,610 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F5 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | GrantClass B Common Stock · Derivative | 19,647,134 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · derivative · entry 4 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 19,647,134 Underlying: Class A Common Stock · 19,647,134 shares Expires not disclosed F1 · derivative.exercise_price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.exercise_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.exercise_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F1 · derivative.expiration_date: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · derivative.expiration_date: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F4 · ownership.nature: These securities of the Issuer are or were directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | Disposition to issuerCommon Stock | 251,084 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · nonDerivative · entry 3 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Dutch Investors Prime, L.P. Disclosed balance after: 0 F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F6 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Dutch Investors Prime, L.P. ("SunTx Fulcrum Dutch Fund", and together with SunTx Expansion Fund and SunTx Fulcrum Fund, the "SunTx Funds"). The general partner of SunTx Fulcrum Dutch Fund is SunTx Partners GP. F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | Disposition to issuerCommon Stock | 461,175 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · nonDerivative · entry 2 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx Fulcrum Fund Prime, L.P. Disclosed balance after: 0 F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F5 · ownership.nature: These securities of the Issuer are or were directly held by SunTx Fulcrum Fund Prime, L.P. ("SunTx Fulcrum Fund"). The general partner of SunTx Fulcrum Fund is SunTx Capital Partners L.P. ("SunTx Partners GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 23, 2018 Filed May 10, 2018 16:42 UTC | Construction Partners, Inc. ROAD · Entity 3830 | Disposition to issuerCommon Stock | 779,648 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-012349 · doc4.xml · nonDerivative · entry 1 SunTx Capital Management Corp. · CIK 0001739424 · Director · 10% owner SunTX CPI Expansion Fund GP, L.P. · CIK 0001739437 · Director · 10% owner SUNTX CAPITAL PARTNERS L P · CIK 0001208091 · Director · 10% owner SunTx CPI Expansion Fund LP · CIK 0001410954 · Director · 10% owner SunTx Fulcrum Fund Prime, L.P. · CIK 0001702326 · Director · 10% owner SunTx Fulcrum Dutch Investors Prime, L.P. · CIK 0001711005 · Director · 10% owner Fleming Ned N III · CIK 0001707712 · Director · 10% owner Jennings Craig · CIK 0001739383 · Director · 10% owner Matteson Mark R · CIK 0001739134 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SunTx CPI Expansion Fund, L.P. Disclosed balance after: 0 F1 · price: On April 23, 2018, Construction Partners, Inc. (the "Issuer") amended and restated its certificate of incorporation to effectuate a dual class common stock structure consisting of the Issuer's Class A Common Stock, par value $0.001 per share ("Class A Common Stock") and the Issuer's Class B Common Stock, par value $0.001 per share ("Class B Common Stock"), as a result of which each share of the Issuer's Common Stock, par value $0.001 per share, automatically and without any action on the part of the holders thereof, was reclassified and changed into approximately 25.2 shares of the Issuer's Class B Common Stock so that all of the Issuer's equity holders became the holders of Class B Common Stock (the "Reclassification"). The Reclassification was approved by the Issuer's Board of Directors in advance of the Reclassification. F2 · price: (Continued from Footnote 1) Each share of Class B Common Stock of the Issuer is convertible at any time at the option of the holder thereof into one share of Class A Common Stock of the Issuer. In addition, upon the election of the holders of a majority of the then-outstanding shares of Class B Common Stock, all outstanding shares of Class B Common Stock will be converted into shares of Class A Common Stock. Further, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon any transfer, whether or not for value, except upon certain transfers described in the Issuer's amended and restated certificate of incorporation. The shares of Class B Common Stock reported as sold in this Form 4 automatically converted into shares of Class A Common Stock when transferred to the buyer. The holders of Class A Common Stock and Class B Common Stock vote as a single class on all matters submitted to a vote of stockholders. F3 · price: (Continued from Footnote 2) The holders of Class A Common Stock are entitled to one vote per share and the holders of the Class B Common Stock are entitled to 10 votes per share. The shares of Class B Common Stock do not expire. F4 · ownership.nature: These securities of the Issuer are or were directly held by SunTx CPI Expansion Fund, L.P. ("SunTx Expansion Fund"). The general partner of SunTx Expansion Fund is SunTx CPI Expansion Fund GP, L.P. ("SunTx Expansion GP"). F7 · ownership.nature: The general partner of each of SunTx Expansion GP and SunTx Partners GP is SunTx Capital Management Corp. ("SunTx Capital Management"). Ned N. Fleming, III, a director of the Issuer, is the sole shareholder and director of SunTx Capital Management. Craig Jennings and Mark R. Matteson, each a director of the Issuer, are each executive officers of SunTx Capital Management. Each of SunTx Expansion GP, SunTx Partners GP, SunTx Capital Management, Mr. Fleming, Mr. Jennings and Mr. Matteson may be deemed to beneficially own securities of the Issuer held by the SunTx Funds. Each such entity and person disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein and this report shall not be deemed an admission that any such entity or person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| March 31, 2018 Filed Aug 24, 2018 18:39 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-023261 · doc4.xml · derivative · entry 5 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units were convertible into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer (the "Board"), received shares of common stock of the Issuer on a one-for-one basis based on the 500 restricted stock units that vested on each of March 31, 2018 and June 30, 2018. F5 · derivative.exercise_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. F5 · derivative.expiration_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. Read SEC document |
| March 31, 2018 Filed Aug 24, 2018 18:39 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-023261 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units were convertible into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer (the "Board"), received shares of common stock of the Issuer on a one-for-one basis based on the 500 restricted stock units that vested on each of March 31, 2018 and June 30, 2018. Read SEC document |
| March 22, 2018 Filed Aug 24, 2018 18:39 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | GrantRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-023261 · doc4.xml · derivative · entry 4 Fleming Ned N III · CIK 0001707712 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. F5 · derivative.expiration_date: On March 22, 2018, Mr. Fleming was granted 2,000 restricted stock units, vesting in four equal quarterly installments beginning on March 31, 2018. On the date of vesting, Mr. Fleming would receive shares of the Issuer's common stock, cash in an amount equal to the fair market value of such shares or any combination thereof based on the number of restricted stock units that vested on such date. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 16:40 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 375 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000286 · doc4.xml · derivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 375 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units were convertable into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, received shares of common stock of the Issuer on a one-for-one basis based on the number of restricted stock units that vested on December 31, 2017. F5 · derivative.exercise_date: On June 20, 2017, Mr. Fleming was granted 875 restricted stock units, vesting in three quarterly installments of 14%, 43% and 43% beginning with the vesting of 125 shares of common stock on June 30, 2017. F5 · derivative.expiration_date: On June 20, 2017, Mr. Fleming was granted 875 restricted stock units, vesting in three quarterly installments of 14%, 43% and 43% beginning with the vesting of 125 shares of common stock on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017, the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017, (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of the remaining restricted stock units on December 31, 2017. Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 875 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017, the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017, (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of the remaining restricted stock units on December 31, 2017. Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 875 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 16:40 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-000286 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 875 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units were convertable into common stock of Veritex Holdings, Inc. (the "Issuer") on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, received shares of common stock of the Issuer on a one-for-one basis based on the number of restricted stock units that vested on December 31, 2017. F2 · ownership.direct: Includes 125 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on June 30, 2017, also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017, and includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on December 31, 2017 as reported on this Form 4. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017, the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017, (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of the remaining restricted stock units on December 31, 2017. Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 875 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 125 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on June 30, 2017, also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017, and includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on December 31, 2017 as reported on this Form 4. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017, the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017, (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of the remaining restricted stock units on December 31, 2017. Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 875 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| December 12, 2017 Filed Dec 13, 2017 21:01 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 12,370 | $27.21 | $336,587.70 |
DisclosureSEC source: 0000899243-17-028654 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on December 12, 2017 is based on prices ranging from a low of $27.07 per share to a high of $27.39 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 500 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 500 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| November 15, 2017 Filed Nov 15, 2017 16:17 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 83,162 | $26.00 | $2,162,212.00 |
DisclosureSEC source: 0000899243-17-026342 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 12,870 F2 · ownership.direct: Includes 12,370 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 92,711 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 12,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 12,370 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 92,711 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 12,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 16:17 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 9,549 | $26.03 | $248,560.47 |
DisclosureSEC source: 0000899243-17-026342 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 96,032 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on November 14, 2017 is based on prices ranging from a low of $26.00 per share to a high of $26.12 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 12,370 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 92,711 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 12,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 12,370 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 92,711 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 12,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| November 08, 2017 Filed Nov 8, 2017 20:00 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 9,789 | $26.01 | $254,611.89 |
DisclosureSEC source: 0000899243-17-025652 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 105,581 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on November 7, 2017 is based on prices ranging from a low of $26.15 per share to a high of $26.27 per share. The reported price for the share sales made on November 8, 2017 is based on prices ranging from a low of $26 per share to a high of $26.06 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 105,081 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 17,289 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 105,581 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 105,081 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 17,289 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 105,581 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| November 07, 2017 Filed Nov 8, 2017 20:00 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 7,500 | $26.19 | $196,425.00 |
DisclosureSEC source: 0000899243-17-025652 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 115,370 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on November 7, 2017 is based on prices ranging from a low of $26.15 per share to a high of $26.27 per share. The reported price for the share sales made on November 8, 2017 is based on prices ranging from a low of $26 per share to a high of $26.06 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 105,081 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 17,289 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 105,581 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 105,081 shares of common stock of the Issuer held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 17,289 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 105,581 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 16:10 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 66,997 | $26.90 | $1,802,219.30 |
DisclosureSEC source: 0000899243-17-023672 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 122,870 F1 · ownership.direct: Includes 122,370 shares of common stock of Veritex Holdings, Inc. (the "Issuer") held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,997 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F2 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 3) F3 · ownership.direct: (Continued from Footnote 2) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 122,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F1 · ownership.nature: Includes 122,370 shares of common stock of Veritex Holdings, Inc. (the "Issuer") held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,997 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F2 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 3) F3 · ownership.nature: (Continued from Footnote 2) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 122,870 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 20:07 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 50,000 | $26.93 | $1,346,500.00 |
DisclosureSEC source: 0000899243-17-023380 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 189,867 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on October 2, 2017 is based on prices ranging from a low of $26.76 per share to a high of $27.05 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 189,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 50,000 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 189,867 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 189,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 50,000 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 189,867 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:11 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionRestricted Stock Units · Derivative | 375 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-023116 · doc4.xml · derivative · entry 3 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 375 Underlying: Common Stock · 375 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Restricted stock units may be converted into common stock of the Issuer on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Mr. Fleming received shares of common stock of the Issuer on a one-for-one basis based on the number of restricted stock units that vested on September 30, 2017. F6 · derivative.exercise_date: On June 20, 2017, Mr. Fleming was granted 875 restricted stock units, vesting in three quarterly installments of 14%, 43% and 43% beginning with the vesting of 125 shares of common stock on June 30, 2017. F6 · derivative.expiration_date: On June 20, 2017, Mr. Fleming was granted 875 restricted stock units, vesting in three quarterly installments of 14%, 43% and 43% beginning with the vesting of 125 shares of common stock on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| September 30, 2017 Filed Oct 2, 2017 16:11 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | Exercise / conversionCommon Stock | 375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-023116 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 239,867 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Restricted stock units may be converted into common stock of the Issuer on a one-for-one basis, cash in an amount equal to the fair market value of such shares or any combination thereof, and Mr. Fleming received shares of common stock of the Issuer on a one-for-one basis based on the number of restricted stock units that vested on September 30, 2017. F2 · ownership.direct: Includes 239,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,200 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017 as reported on this Form 4. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 239,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,200 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017 as reported on this Form 4. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 16:11 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 66,200 | $26.81 | $1,774,822.00 |
DisclosureSEC source: 0000899243-17-023116 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 239,492 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on September 29, 2017 is based on prices ranging from a low of $26.75 per share to a high of $27.20 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 239,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,200 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017 as reported on this Form 4. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 239,367 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 66,200 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017, and also includes 375 shares of the Issuer's common stock received by Mr. Fleming based on restricted stock units that vested on September 30, 2017 as reported on this Form 4. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the restricted stock units granted to Mr. Fleming, the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017 and the 375 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of additional restricted stock units on September 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in the 239,867 shares of the Issuer's common stock and the 375 restricted stock units remaining (i.e. no direct pecuniary interest) as reported in Tables I and II, respectively. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| September 28, 2017 Filed Sep 29, 2017 16:10 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 16,503 | $26.76 | $441,620.28 |
DisclosureSEC source: 0000899243-17-022952 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 305,692 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on September 28, 2017 is based on prices ranging from a low of $26.75 per share to a high of $26.80 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 305,567 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 16,503 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 305,692 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 305,567 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 16,503 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 305,692 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 16:08 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 300 | $26.80 | $8,040.00 |
DisclosureSEC source: 0000899243-17-021426 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 322,195 F1 · shares: The sales reported in Column 4 occurred in multiple transactions at the reported price. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold in each separate transaction set forth above. F2 · ownership.direct: Includes 322,070 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 300 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,195 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 322,070 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 300 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,195 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 12:36 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 75,690 | $25.55 | $1,933,879.50 |
DisclosureSEC source: 0000899243-17-021227 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 322,495 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on August 28, 2017 is based on prices ranging from a low of $25.75 per share to a high of $26.12 per share. The reported price for the share sales made on August 29, 2017 is based on prices ranging from a low of $25.55 per share to a high of $25.75 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 322,370 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 118,532 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,495 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 322,370 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 118,532 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,495 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| August 28, 2017 Filed Aug 30, 2017 12:36 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 42,842 | $25.83 | $1,106,608.86 |
DisclosureSEC source: 0000899243-17-021227 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 398,185 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on August 28, 2017 is based on prices ranging from a low of $25.75 per share to a high of $26.12 per share. The reported price for the share sales made on August 29, 2017 is based on prices ranging from a low of $25.55 per share to a high of $25.75 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 322,370 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 118,532 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,495 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 322,370 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 118,532 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 322,495 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| August 25, 2017 Filed Aug 28, 2017 17:51 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 26,334 | $26.07 | $686,527.38 |
DisclosureSEC source: 0000899243-17-021091 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 441,027 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on August 25, 2017 is based on prices ranging from a low of $25.95 per share to a high of $26.22 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 440,902 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 26,334 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 441,027 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 440,902 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 26,334 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 441,027 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 16:10 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 35,334 | $26.19 | $925,397.46 |
DisclosureSEC source: 0000899243-17-021017 · doc4.xml · nonDerivative · entry 2 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 467,361 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on August 23, 2017 is based on prices ranging from a low of $26.00 per share to a high of $26.23 per share. The reported price for the share sales made on August 24, 2017 is based on prices ranging from a low of $26.00 per share to a high of $26.31 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 467,236 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 55,134 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 467,361 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 467,236 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 55,134 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 467,361 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 16:10 UTC | Veritex Holdings, Inc. VBTX · Entity 74048 | SaleCommon Stock | 19,800 | $26.12 | $517,176.00 |
DisclosureSEC source: 0000899243-17-021017 · doc4.xml · nonDerivative · entry 1 Fleming Ned N III · CIK 0001707712 · Director · See Remarks Below SunTx Veritex Holdings, L.P. · CIK 0001621734 · See Remarks Below Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 502,695 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The reported price for the share sales made on August 23, 2017 is based on prices ranging from a low of $26.00 per share to a high of $26.23 per share. The reported price for the share sales made on August 24, 2017 is based on prices ranging from a low of $26.00 per share to a high of $26.31 per share. The reporting persons undertake to provide to Veritex Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth above. F2 · ownership.direct: Includes 467,236 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 55,134 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.direct: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.direct: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 467,361 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. F2 · ownership.nature: Includes 467,236 shares of the Issuer's common stock held directly by SunTx Veritex Holdings, LP, a Delaware limited partnership and a Reporting Person (the "Fund"), after the sale of 55,134 shares of the Issuer's common stock as reported on this Form 4, and includes 125 shares of the Issuer's common stock received by Ned N. Fleming, III, a director on the board of directors of the Issuer and a Reporting Person, based on restricted stock units that vested on June 30, 2017. F3 · ownership.nature: Mr. Fleming serves as director of SunTx Capital II Management Corp. (the "Fund GP Corp"), which acts as the general partner of SunTx Capital Partners II GP, LP (the "Fund GP"), the general partner of the Fund, and which serves as the investment manager to the Fund. As a result of this relationship, Mr. Fleming serves on the Issuer's board of directors as a representative of the Fund and received restricted stock units in such capacity. Pursuant to the offering documents of the Fund, the Fund is entitled to an indirect pecuniary interest in the 125 shares of the Issuer's common stock received by Mr. Fleming upon the vesting of certain restricted stock units on June 30, 2017. (Continued in Footnote 4) F4 · ownership.nature: (Continued from Footnote 3) Solely as a result of his ownership interest in the Fund, including through the Fund GP Corp, Mr. Fleming may be deemed to have an indirect pecuniary interest in all 467,361 shares of the Issuer's common stock (i.e. no direct pecuniary interest) reported in Table I. Mr. Fleming disclaims beneficial ownership of these securities, except to the extent of Mr. Fleming's pecuniary interest in the securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.