FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/19/2012 |
3. Issuer Name and Ticker or Trading Symbol
Capital Bank Financial Corp. [ CBF ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock, par value $0.01 per share(1) | 12,500 | I | See footnote(1) |
Restricted Common Stock(1) | 12,500(2) | I | See footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Common Stock Option (right to buy)(1)(3) | (3) | 12/22/2019 | Class A Common Stock, par value $0.01 per share | 25,000 | $20 | I | See footnote(1) |
Explanation of Responses: |
1. Consists of shares, restricted shares and/or options, as applicable, held of record by Oak Hill Advisors, L.P. ("OHA") and certain of its affiliated funds. Oak Hill Advisors GenPar, L.P. ("GenPar"), the general partner of OHA, possesses all voting and dispositive power with respect to the shares, restricted shares and options held by OHA and certain of its affiliated funds. The Reporting Person is a Partner at OHA. The Reporting Person dis-claims beneficial ownership of the shares, restricted shares and options held by OHA and certain of its affiliated funds except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of the shares, restricted shares or options for purposes of Section 16 or for any other purpose. |
2. Shares of restricted common stock vest upon the lapse of the restrictions on December 22, 2012. The vesting of the Reporting Person's restricted common stock is subject to OHA continuing to have an employee or partner serve as a director of CBF. |
3. Consists of stock options granted in March 2011. One half of the stock options granted in March 2011 vested on December 22, 2011 and the other half of the stock options granted in March 2011 will vest on December 22, 2012. The vesting of the Reporting Person's stock options is subject to OHA continuing to have an employee or partner serve as a director of CBF. |
Remarks: |
Exhibit List: Exhibit 24 - Power of Attorney |
/s/ Nancy Snow as Attorney-in-Fact | 09/19/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |