Statement of Changes in Beneficial Ownership (4)
February 01 2021 - 4:54PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
BRUNNGRABER ERIC H |
2. Issuer Name and Ticker or Trading Symbol
CASS INFORMATION SYSTEMS INC
[
CASS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, CEO |
(Last)
(First)
(Middle)
12444 POWERSCOURT DRIVE, SUITE 550 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/29/2021 |
(Street)
ST. LOUIS, MO 63131
(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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Common Stock | 1/29/2021 | | F | | 2927 | D | $40.60 | 107795 (1) | D | |
Common Stock | 1/29/2021 | | A | | 8946 (2) | A | $0.00 | 116741 (1) | D | |
Common Stock | 1/29/2021 | | F | | 4003 | D | $40.60 | 112738 (1) | D | |
Common Stock | 1/29/2021 | | A | | 9389 (3) | A | $0.00 | 122127 (1) | 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 |
Explanation of Responses: |
(1) | Includes restricted stock bonus shares, subject to vesting and forfeiture. |
(2) | The shares were acquired upon the satisfaction of applicable performance conditions. |
(3) | Represents a grant of restricted stock units under the Amended and Restated Omnibus Stock and Performance Compensation Plan. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. The restricted stock units are scheduled to cliff vest in three years. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BRUNNGRABER ERIC H 12444 POWERSCOURT DRIVE SUITE 550 ST. LOUIS, MO 63131 | X |
| President, CEO |
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Signatures
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/s/ Eric H. Brunngraber | | 2/1/2021 |
**Signature of Reporting Person | Date |
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