Filing Details
- Accession Number:
- 0001366633-12-000019
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2012-02-14 09:39:37
- Reporting Period:
- 2011-12-31
- Filing Date:
- 2012-02-14
- Accepted Time:
- 2012-02-14 09:39:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1500023 | Iii H Edwin Shuford | P. O. Box 732 Valle Crucis NC 28691 | Evp & Chief Credit Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock | Acquisiton | 2011-02-25 | 10,000 | $2.25 | 10,000 | No | 5 | A | Direct | |
| Common Stock | Acquisiton | 2011-05-06 | 2,541 | $1.98 | 12,541 | No | 5 | P | Direct | |
| Common Stock | Acquisiton | 2011-06-23 | 346 | $1.98 | 12,887 | No | 5 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | A | Direct | |
| No | 5 | P | Direct | |
| No | 5 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $14.97 | 2005-05-03 | 2013-05-03 | 2,000 | 2,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-05-03 | 2,000 | 2,000 | Direct |
Footnotes
- Following the filing of Mr. Shuford's initial Form 3, it was deemed that he was not a Section 16 Reporting Officer of the Isuser. Mr. Shuford has now been deemed a Section 16 Reporting Officer, so this Form 5 is being filed to report transactions that occured in 2011 that he was not previously required to report.
- The issuer is a participant in the TARP Capital Purchase Program. As a result, the restricted stock granted to Mr. Shuford shall vest pursuant to the following schedule: 3,333 shares on 2/25/2012; 3,333 shares on 2/25/2013, and 3,334 shares on 2/25/2014, 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 purusant thereto
- Acquired in Private Placement Offering
- Price adjusted from $2.25 per share following shareholders' approval of the discounted price of $1.98 per share, which occured on 6/23/2011
Billionaire Hedge Funds
