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OMB APPROVAL

OMB Number   3235-0101
Expires:   June 30, 2020
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144/A

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

    SEC USE ONLY
  

                                                                      

 

  

    

 

       
    
ATTENTION:

Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

 

1(a) NAME OF ISSUER

Guaranty Bancshares, Inc.

  

(b) IRS IDENT. NO.

75-1656431

  

(c) S.E.C. FILE NO.

001-38087

1(d) ADDRESS OF ISSUER       CITY                   STATE              ZIP CODE       (e) TELEPHONE NO
                 AREA CODE     NUMBER
16475 Dallas Parkway, Suite 600       Addison               TX      75001   903    572-9881

2(a) NAME OF PERSON FOR WHOSE ACCOUNT
        THE SECURITIES ARE TO BE SOLD

         

(b) RELATIONSHIP TO         ISSUER

  

(c) ADDRESS

 

  

(STREET,

   

CITY,

     

STATE,

     

ZIP CODE)

Robert Patrick Sharp Lifetime Trust          Director/Officer   16475 Dallas Parkway, Suite 600, Addison, Texas 75001

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3(a)                    (b)         SEC USE ONLY    (c)    (d)   (e)    (f)    (g)

Title of the

Class of

Securities

To Be Sold

   

Name and Address of Each Broker Through Whom

the Securities are to be Offered or Each Market

Maker who is Acquiring the Securities

 

   

Broker-Dealer

File Number

   

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

   

Aggregate

Market Value

 

(See instr. 3(d))

  

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

   

Approximate

Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

   

Name of Each

Securities

Exchange

(See instr. 3(g))

               
Common Stock   

LPL Financial

75 State Street, 22nd Floor

Boston, MA 02109

         2,203(1)    $65,980(2)   11,560,058    (3)    NASDAQ

 

INSTRUCTIONS:

1.

   (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

  

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

   (a)   Name of person for whose account the securities are to be sold
  (b)   Such person’s relationship to the issuer (e.g., officer, director, 10 percent stockholder, or member of immediate family of any of the foregoing)
  (c)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e)  

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

Approximate date on which the securities are to be sold

  (f)
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold
 

 

Potential persons who are to respond to the collection of information contained in this form are not required

to respond unless the form displays a currently valid OMB control number.

TABLE I—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

   

Date you  

Acquired  

    Name of Acquisition Transaction   

Name of Person From Whom Acquired

(If gift, also give date donor acquired)

    Amount of
Securities Acquired		   

Date of  

Payment  

    Nature of
Payment
             
Common Stock      08/03/2018    Open market         N/A         2,203    08/03/2018    Cash
INSTRUCTIONS:    If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

 

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of the Seller   Title of Securities Sold   Date of Sale       Amount of    
Securities Sold    		   Gross Proceeds    
         
None                

Remarks:

  (1)

The reporting person is filing this Amendment to the Form 144 originally filed on August 27, 2019 (“Original Form 144”) in order to reflect that any sales will occur under a Rule 10b5-1 trading plan and change the date of approximate sale. The reporting person filed the Original Form 144 for the proposed sale of the 2,203 shares between August 30, 2019 and August 30, 2020, however, none of the shares have been sold as of the date of this Amendment. On September 4, 2019, the reporting person entered into a Rule 10b5-1 trading plan with LPL Financial LLC, which contemplates the sale of up to 2,203 shares of the Issuer’s common stock from September 8, 2019 to September 8, 2020 under the parameters set forth in the plan.

  (2)

Based on closing market price of $29.95 on September 5, 2019.

  (3)

Any sales by the reporting person will occur under the terms of a Rule 10b5-1 trading plan, which contemplates the sale of up to 2,203 shares of the Issuer’s common stock from September 8, 2019 to September 8, 2020 under certain specified conditions.

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

     

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

September 9, 2019

Date of Notice

     

/s/ Randall R. Kucera, as attorney in fact

(Signature)

September 4, 2019

Date of Plan Adoption or Giving of Instruction,

if Relying on Rule 10b5-1.

      The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)