FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TAYLOR CAPITAL GROUP INC [ TAYC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/14/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/14/2011 | O | 139,065 | A | $7.91 | 506,400 | I | By Limited Partnership(1) | ||
Common Stock | 12/14/2011 | O | 139,065 | A | $7.91 | 506,400 | I | By Limited Partnership(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Subscription Rights (right to buy) | $7.91 | 12/14/2011 | O | 832,226(3) | 11/23/2011 | 12/14/2011 | Common Stock | 139,065 | $0 | 0 | I | By Limited Partnership(1) | |||
Subscription Rights (right to buy) | $7.91 | 12/14/2011 | O | 832,226(3) | 11/23/2011 | 12/14/2011 | Common Stock | 139,065 | $0 | 0 | I | By Limited Partnership(2) |
Explanation of Responses: |
1. The reported securities are held of record by Prairie Capital IV, L.P. ("PC"). Mr. Daniels is a Managing Member of Daniels & King Capital IV, L.L.C. ("D&K), which in turn is the sole general partner of PC. As a result, each of Mr. Daniels and D&K may be deemed to beneficially own the reported securities. Mr Daniels and D&K each hereby disclaims any beneficial ownership of any securities directly held by PC, except to the extent of their pecuniary interest therein. |
2. The reported securities are held of record by Prairie Capital IV QP, L.P. ("PCQP"). Mr Daniels is a Managing Member of D&K, which in turn is the sole general partner of PCQP. As a result, each of Mr. Daniels and D&K may be deemed tobeneficially own the reported securities. Mr. Daniels and D&K each hereby disclaims any beneficial ownership of any securities directly held by PCQP, except to the extent of their pecuniary interest therein. |
3. Each Subscription Right entitles the holder thereof to purchase 0.1671 shares of Common Stock. |
/s/ Randall T. Conte, Attorney in Fact | 12/16/2011 | |
** 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 Number. |