Filing Details
- Accession Number:
- 0001366633-11-000018
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-19 19:11:38
- Reporting Period:
- 2011-08-05
- Filing Date:
- 2011-08-19
- Accepted Time:
- 2011-08-19 19:11:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1366367 | Yadkin Valley Financial Corp | YAVY | State Commercial Banks (6022) | 204495993 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1486161 | Jr. Spencer F Cosby | 500 Chesapeake Pl. Greenville NC 27858 | Evp Of Yadkin Valley Financial | No | Yes | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-08-05 | 14,432 | $1.91 | 33,000 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-09 | 9,412 | $1.75 | 23,589 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-09 | 2,900 | $1.75 | 20,689 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-09 | 100 | $1.75 | 20,589 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-09 | 98 | $1.74 | 20,491 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-09 | 3,589 | $1.80 | 16,902 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $14.00 | 2005-10-01 | 2013-10-01 | 2,500 | 2,500 | Direct |
| Common Stock | Stock Options | $19.07 | 2008-01-18 | 2017-01-18 | 5,000 | 4,000 | Direct |
| Common Stock | Stock Options | $13.91 | 2009-03-14 | 2018-03-14 | 4,000 | 2,400 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-10-01 | 2,500 | 2,500 | Direct |
| 2017-01-18 | 5,000 | 4,000 | Direct |
| 2018-03-14 | 4,000 | 2,400 | Direct |
Footnotes
- Amount of securities beneficially owned after the above transactions reflects the direct ownership of 10,000 shares of Restricted Stock (unvested). The issuer is a participant in the TARP Capital Purchase Program. As a result, the Restricted Stock granted to Mr. Cosby shall vest pursuant to the following schedule: 3,333.33 shares on 4/16/2011; 3,333.33 shares on 4/16/2012; and 3,333.34 shares on 4/16/2013 provided however that, no Restricted Stock shall be vested prior to the earliest date permitted by Section 111(b)(3)(D) of the Emergency Economic Stabilization Act of 2008 and the regulations adopted pursuant thereto.
- 80% vested
- 60% vested
Billionaire Hedge Funds
