Independent Bank Group, Inc. |
(Name of Issuer) |
Common Stock, par value $0.01 per share |
(Title of Class of Securities) |
45384B 106 |
(CUSIP Number) |
December 31, 2014 |
(Date of Event Which Requires Filing of this Statement) |
CUSIP No. | 45384B 106 | Page 2 |
1 | NAME OF REPORTING PERSON Vincent J. Viola I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) | ||||||
(b) | ||||||||
3 | SEC USE ONLY | |||||||
4 | CITIZENSHIP USA | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER 4,727,203 (1) | ||||||
6 | SHARED VOTING POWER 0 | |||||||
7 | SOLE DISPOSITIVE POWER 4,727,203 (1) | |||||||
8 | SHARED DISPOSITIVE POWER 0 | |||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED 4,727,203 (1) BY EACH REPORTING PERSON | |||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* | |||||||
11 | PERCENT OF CLASS REPRESENTED BY 27.8% (2) AMOUNT IN ROW (9) | |||||||
12 | TYPE OF REPORTING PERSON* IN |
(1) | Includes 405,000 shares of common stock held directly by VV-IB Holdings, LLC, a Texas limited liability company controlled by the Reporting Person, and 93,091 shares of common stock issuable upon exercise of a stock purchase warrant by the Reporting Person. |
(2) | Based on 17,032,669 shares of common stock of the Issuer outstanding as of December 31, 2014. |
Item 3. | If this statement is filed pursuant to Sections 13d- 1(b), or 13d-2(b) or (c), check whether the person filing is a: |
(a) | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78c); |
(b) | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
(d) | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(e) | An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); |
(f) | An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); |
(g) | A parent holding company or control person in accordance with 240.13d-1(b)(ii)(G); |
(h) | A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a‑3); |
(j) | Group, in accordance with 240.13d-1(b)(1)(ii)(J) |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: |