0000099771-19-000028.txt : 20190307 0000099771-19-000028.hdr.sgml : 20190307 20190307181522 ACCESSION NUMBER: 0000099771-19-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190307 FILED AS OF DATE: 20190307 DATE AS OF CHANGE: 20190307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ho Yin CENTRAL INDEX KEY: 0001670518 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50266 FILM NUMBER: 19667028 MAIL ADDRESS: STREET 1: 1200 TRINITY DRIVE STREET 2: PO BOX 60 CITY: LOS ALAMOS STATE: NM ZIP: 87544 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRINITY CAPITAL CORP CENTRAL INDEX KEY: 0000099771 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 850242376 STATE OF INCORPORATION: NM FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1200 TRINITY DRIVE CITY: LOS ALAMOS STATE: NM ZIP: 87544 BUSINESS PHONE: 505 662 5171 MAIL ADDRESS: STREET 1: 1200 TRINITY DRIVE CITY: LOS ALAMOS STATE: NM ZIP: 87544 4 1 form4.xml X0306 4 2019-03-07 0000099771 TRINITY CAPITAL CORP TRIN 0001670518 Ho Yin 1200 TRINITY DRIVE PO BOX 60 LOS ALAMOS NM 87544 true Chief Information Officer Voting common stock 2019-03-08 4 A 0 25000 0 A 69275 D Voting common stock 2019-03-08 4 F 0 16583 10.76 D 52692 D Voting common stock 2019-03-08 4 D 0 52692 D 0 D Represents the acquisition of 25,000 shares of common stock underlying performance-based restricted stock units that were accelerated and fully vested in accordance with the terms of the Merger Agreement (defined below). Reflects the number of shares of common stock withheld by the Issuer to pay the tax liability of the Reporting Person in connection with the settlement of restricted stock units previously granted to the Reporting Person. The amount of shares of common stock withheld is based on the closing price on March 5, 2019. Pursuant to the Merger Agreement, upon closing of the merger, each share of common stock of the Issuer was converted into the right to receive $1.84 in cash and 0.1972 shares of EFSC (as defined below) common stock (together, the "Per Share Amount"), which fractional shares being paid in cash as provided in the Merger Agreement. The market value of the Per Share Amount is $10.33 per share, based on the trading price of EFSC common stock as of the end of trading on March 7, 2019. All outstanding securities issued by Trinity Capital Corp (the "Issuer") were disposed of pursuant to the Agreement and Plan of Merger, dated November 1, 2018, (the "Merger Agreement") between the Issuer, its wholly owned subsidiary Los Alamos National Bank, Enterprise Financial Services Corp ("EFSC") and Enterprise Bank & Trust, pursuant to which, on March 8, 2019, the Issuer merged with and into EFSC, with EFSC being the surviving corporation. /s/Yin Ho 2019-03-07