Statement of Changes in Beneficial Ownership (4)
24 December 2021 - 8:32AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Marturet M. Gustavo |
2. Issuer Name and Ticker or Trading Symbol
Amerant Bancorp Inc.
[
AMTB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
220 ALHAMBRA CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/21/2021 |
(Street)
CORAL GABLES, FL 33134
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class B Common Stock | 11/18/2021 | | J(1) |
V
| 559 | D | $0 (1) | 0 | D | |
Class A Common Stock | 11/18/2021 | | J(1) |
V
| 531 | A | $0 (1) | 781 | D | |
Class B Common Stock | 11/18/2021 | | J(1) |
V
| 7089 | D | $0 (1) | 0 | I | See footnote (2) |
Class A Common Stock | 11/18/2021 | | J(1) |
V
| 6734 | A | $0 (1) | 72846 | I | See footnote (2) |
Class A Common Stock | 12/21/2021 | | M | | 3205 | A | $0 | 3986 | D | |
Class A Common Stock | 12/21/2021 | | D | | 3205 | D | $34.20 (3) | 781 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | $0.0 (4) | 12/21/2021 | | M | | | 3205 | (5) | (5) | Class A Common Stock | 3205.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Pursuant to a merger completed by the Issuer on November 18, 2021, exempt under Rule 16b-7, each share of Class B Common Stock was automatically converted to 0.95 of a share of Class A common stock. |
(2) | These shares consist of shares held by certain trusts and companies under common control by and/or for the benefit of certain members of the Marturet family as well as shares owned by Mr. Marturet's spouse and an immediate family member sharing Mr. Marturet's household. |
(3) | The restricted stock units that vested were settled in cash based on the closing price of the Class A Common Stock on December 21, 2021. |
(4) | Each restricted stock unit is the economic equivalent of one share of Class A Common Stock. |
(5) | On December 21, 2018, the reporting person was granted 9,615 cash-settled restricted stock units, vesting in three equal installments beginning on the first anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Marturet M. Gustavo 220 ALHAMBRA CIRCLE CORAL GABLES, FL 33134 | X |
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Signatures
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/s/ Julio V. Pena, as Attorney-in-Fact for Gustavo Marturet M. | | 12/23/2021 |
**Signature of Reporting Person | Date |
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