0001193125-17-040634.txt : 20170213 0001193125-17-040634.hdr.sgml : 20170213 20170213164055 ACCESSION NUMBER: 0001193125-17-040634 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 GROUP MEMBERS: NED N. FLEMING III GROUP MEMBERS: SUNTX CAPITAL II MANAGEMENT CORP. GROUP MEMBERS: SUNTX CAPITAL PARTNERS II GP, LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Veritex Holdings, Inc. CENTRAL INDEX KEY: 0001501570 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 270973566 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88690 FILM NUMBER: 17599878 BUSINESS ADDRESS: STREET 1: 8214 WESTCHESTER DRIVE STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 972-349-6200 MAIL ADDRESS: STREET 1: 8214 WESTCHESTER DRIVE STREET 2: SUITE 400 CITY: DALLAS STATE: TX ZIP: 75225 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SunTx Veritex Holdings, L.P. CENTRAL INDEX KEY: 0001621734 IRS NUMBER: 800569143 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: 972-663-8900 MAIL ADDRESS: STREET 1: TWO LINCOLN CENTRE, SUITE 1000 STREET 2: 5420 LBJ FREEWAY CITY: DALLAS STATE: TX ZIP: 75240 SC 13G/A 1 d348458dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13G

Amendment No. 1

(Rule 13d-102)

UNDER THE SECURITIES EXCHANGE ACT OF 1934

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

 

 

Veritex Holdings, Inc.

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

923451108

(CUSIP Number)

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

 

 


CUSIP No. 923451108   13G  

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

SunTx Veritex Holdings, LP

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ☐        (b)  ☐

  3  

SEC USE ONLY

 

    

  4  

SOURCE OF FUNDS*

 

AF; OO

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

772,370

   8   

SHARED VOTING POWER

 

0

   9   

SOLE DISPOSITIVE POWER

 

772,370

   10    

SHARED DISPOSITIVE POWER

 

0

  11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

772,370

12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

5.1%

14  

TYPE OF REPORTING PERSON*

 

PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT

 

2 of 9


CUSIP No. 923451108   13G  

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

SunTx Capital Partners II GP, LP

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ☐        (b)  ☐

  3  

SEC USE ONLY

 

    

  4  

SOURCE OF FUNDS*

 

AF; OO

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Texas

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

0

   8   

SHARED VOTING POWER

 

772,370

   9   

SOLE DISPOSITIVE POWER

 

0

   10    

SHARED DISPOSITIVE POWER

 

772,370

  11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

772,370

12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

5.1%

14  

TYPE OF REPORTING PERSON*

 

PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT

 

3 of 9


CUSIP No. 923451108   13G  

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

SunTx Capital II Management Corp.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ☐        (b)  ☐

  3  

SEC USE ONLY

 

    

  4  

SOURCE OF FUNDS*

 

AF; OO

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Texas

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

0

   8   

SHARED VOTING POWER

 

772,370

   9   

SOLE DISPOSITIVE POWER

 

0

   10    

SHARED DISPOSITIVE POWER

 

772,370

  11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

772,370

12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

5.1%

14  

TYPE OF REPORTING PERSON*

 

PN, IA

 

* SEE INSTRUCTIONS BEFORE FILLING OUT

 

4 of 9


CUSIP No. 923451108   13G  

 

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Ned N. Fleming III

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ☐        (b)  ☐

  3  

SEC USE ONLY

 

    

  4  

SOURCE OF FUNDS*

 

AF; OO

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

0

   8   

SHARED VOTING POWER

 

772,370

   9   

SOLE DISPOSITIVE POWER

 

0

   10    

SHARED DISPOSITIVE POWER

 

772,370

  11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

772,370

12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

5.1%

14  

TYPE OF REPORTING PERSON*

 

IN, HC

 

* SEE INSTRUCTIONS BEFORE FILLING OUT

 

5 of 9


SCHEDULE 13G

This Amendment No. 1 to the Schedule 13G (this “Amendment No. 1”) is being filed to update the information set forth in the initial Schedule 13G filed with the Securities and Exchange Commission on February 17, 2015 (the “Original Schedule 13G” and, together with this Amendment No. 1, the “Schedule 13G”). This Amendment No. 1 is filed on behalf of SunTx Veritex Holdings, LP, SunTx Capital Partners II GP, LP, SunTx Capital II Management Corp. and Ned N. Fleming III relating to shares of Common Stock, par value $0.01 per share (the “Common Stock”), of Veritex Holdings, Inc., a Texas corporation (the “Issuer”). The Original Schedule 13G is hereby amended and restated to read as follows:

 

Item 1(a) Name of Issuer.

Veritex Holdings, Inc.

 

Item 1(b) Address of Issuer’s Principal Executive Offices.

8214 Westchester Drive, Suite 400

Dallas, Texas 75225

 

Item 2(a)-(c) Name of Person Filing.

Address of Principal Business Office, or, if none, Residence.

Place of Organization.

This Schedule 13G is jointly filed by:

(i) SunTx Veritex Holdings, LP (the “Fund”), a Delaware limited partnership;

(ii) SunTx Capital Partners II GP, LP (the “Fund GP”), a Texas limited partnership and the general partner of the Fund, with respect to the Common Stock held by the Fund;

(iii) SunTx Capital II Management Corp. (the “Fund GP Corp”), a Texas corporation and the general partner of the Fund’s general partner and the investment manager to the Fund, with respect to the Common Stock held by the Fund;

(iv) Ned N. Fleming, III, a United States citizen and director of Fund GP Corp, with respect to the Common Stock held by the Fund.

The persons identified in (i) through (iv) above are herein referred to as the “Reporting Persons.”

Neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that they have formed a group.

 

6 of 9


The principal place of business for each of the Reporting Persons is 5420 LBJ Freeway, Suite 1000, Dallas, Texas 75240.

 

Item 2(d) Title of Class of Securities.

Common Stock, par value $0.01 per share

 

Item 2(e) CUSIP Number.

923451108

 

Item 3 If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a.

Not applicable

 

Item 4 Ownership.

(a)-(b) As of the date hereof, the following is the beneficial ownership and percentage of the Issuer’s Common Stock outstanding for each of the Reporting Persons:

 

Name of Reporting Person

   Number of
Shares of
Common
Stock
     Total Number
of Shares of
Common Stock
     Percentage of Class  

Fund

     772,370         772,370         5.1

Fund GP

     772,370         772,370         5.1

Fund GP Corp

     772,370         772,370         5.1

Ned N. Fleming, III

     772,370         772,370         5.1

The approximate percentage of Common Stock reported as beneficially owned by each of the Reporting Persons is based upon 15,195,328 shares of Common Stock outstanding as of December 31, 2016, as provided to the Reporting Persons by the Issuer.

(c) The Fund GP, the Fund GP Corp and Ned N. Fleming, III have the shared power to vote and dispose of the shares of Common Stock held by the Fund reported in this Schedule 13G. The Fund has the sole right to vote and dispose of the shares of Common Stock held by it.

 

Item 5 Ownership of Five Percent or Less of a Class.

Not applicable.

 

7 of 9


Item 6 Ownership of More Than Five Percent on Behalf of Another Person.

SunTx Capital Partners II, LP and SunTx Capital Partners II Dutch Investors, LP, both limited partners of the Fund, have the right receive proceeds from the sale of securities that the Fund GP Corp manages on behalf of the Fund.

 

Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported On by the Parent Holding Company.

Not applicable.

 

Item 8 Identification and Classification of Members of the Group.

Not applicable.

 

Item 9 Notice of Dissolution of Group.

Not applicable.

 

Item 10 Certification.

Not applicable.

Exhibits

 

Exhibit 99.1    Joint Filing Agreement by and among the Reporting Persons dated February 13, 2017

 

8 of 9


SIGNATURE

After reasonable inquiry and to the best of their knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: February 13, 2017

 

SUNTX VERITEX HOLDINGS, LP
By:   SunTx Capital Partners II GP, LP,
  its general partner
By:   SunTx Capital II Management Corp.,
  its general partner
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President
SUNTX CAPITAL PARTNERS II GP, LP
By:   SunTx Capital II Management Corp.,
  its general partner
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President
SUNTX CAPITAL II MANAGEMENT CORP.
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President

/s/ Ned N. Fleming, III

Ned N. Fleming, III

 

9 of 9

EX-99.1 2 d348458dex991.htm EX-99.1 EX-99.1

EXHIBIT 99.1

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) (1) (iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated February 13, 2017 (including amendments thereto) with respect to the Common Stock, par value $0.01 per share, of Veritex Holdings, Inc. This Joint Filing Agreement shall be filed as an Exhibit to such Statement.

Dated: February 13, 2017

 

SUNTX VERITEX HOLDINGS, LP
By:   SunTx Capital Partners II GP, LP,
  its general partner
By:   SunTx Capital II Management Corp.,
  its general partner
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President
SUNTX CAPITAL PARTNERS II GP, LP
By:   SunTx Capital II Management Corp.,
  its general partner
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President
SUNTX CAPITAL II MANAGEMENT CORP.
By:  

/s/ Ned N. Fleming, III

  Ned N. Fleming, III, President

/s/ Ned N. Fleming, III

Ned N. Fleming, III