Statement of Changes in Beneficial Ownership (4)
March 15 2022 - 5:53PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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
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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)
3/14/2022 |
(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 A Common Stock | 3/14/2022 | | S | | 1166 (1) | D | $31.247 (2) | 71680 | I | See footnote (3) |
Class A Common Stock | 3/14/2022 | | S | | 538 (4) | D | $31.789 (5) | 71142 | I | See footnote (3) |
Class A Common Stock | 3/14/2022 | | S | | 29 (6) | D | $31.584 (7) | 71113 | I | See footnote (3) |
Class A Common Stock | 3/14/2022 | | S | | 440 (8) | D | $31.001 (9) | 70673 | I | See footnote (3) |
Class A Common Stock | 3/14/2022 | | S | | 16 (10) | D | $31.57 | 70657 | I | See footnote (3) |
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 |
Explanation of Responses: |
(1) | On March 14, 2022, Goosefoot Corporation, a corporation of which Mr. Gustavo Marturet Medina is the beneficial owner of approximately 5.09%, sold 22,906 shares of Class A Common Stock. The 1,166 shares of Class A Common Stock reported reflect Mr. Marturet Medina's beneficial ownership of Goosefoot Corporation. |
(2) | On March 14, 2022, Goosefoot Corporation sold 22,906 shares of Class A Common Stock in multiple transactions at actual sales prices ranging from $30.94 to $31.44 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(3) | 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. |
(4) | On March 14, 2022, Goosefoot Corporation, a corporation of which Mr. Gustavo Marturet Medina is the beneficial owner of approximately 5.09%, sold 10,567 shares of Class A Common Stock. The 538 shares of Class A Common Stock reported reflect Mr. Marturet Medina's beneficial ownership of Goosefoot Corporation. |
(5) | On March 14, 2022, Goosefoot Corporation sold 10,567 shares of Class A Common Stock in multiple transactions at actual sales prices ranging from $31.45 to $31.98 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | On March 14, 2022, Corporacion 311, C.A., a corporation of which Mr. Gustavo Marturet Medina is the beneficial owner of approximately 1.11%, sold 2,657 shares of Class A Common Stock. The 29 shares of Class A Common Stock reported reflect Mr. Marturet Medina's beneficial ownership of Corporacion 311, C.A. |
(7) | On March 14, 2022, Corporacion 311, C.A. sold 2,657 shares of Class A Common Stock in multiple transactions at actual sales prices ranging from $31.576 to $31.885 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(8) | On March 14, 2022, Sucesion Gustavo Antonio Marturet Machado, a estate of which Mr. Gustavo Marturet Medina has a beneficial interest of 12.5%, sold 3,517 shares of Class A Common Stock. The 440 shares of Class A Common Stock reported reflect Mr. Marturet Medina's beneficial interest in Sucesion Gustavo Antonio Marturet Machado. |
(9) | On March 14, 2022, Sucesion Gustavo Antonio Marturet Machado sold 3,517 shares of Class A Common Stock in multiple transactions at actual sales prices ranging from $30.94 to $31.05 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(10) | On March 14, 2022, Marturet Ingenieria y Construction, C.A., a corporation of which Mr. Gustavo Marturet Medina is the beneficial owner of approximately 1.4%, sold 1,164 shares of Class A Common Stock. The 16 shares of Class A Common Stock reported reflect Mr. Marturet Medina's beneficial ownership of Marturet Ingenieria y Construccion, C.A. |
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. | | 3/15/2022 |
**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 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
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 control number. |
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