Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Guaranty Bancshares, Inc. |
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(Name of Issuer)
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Common Stock, par value $1.00 per share |
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(Title of Class of Securities) |
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400764106 |
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(CUSIP Number) |
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December 31, 2022 |
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(Date of Event Which Requires Filing of this Statement) |
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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)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 400764106 |
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1 |
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard W. Baker |
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
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3 |
SEC USE ONLY |
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4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Texas, USA |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 |
SOLE VOTING POWER
627,508 |
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6 |
SHARED VOTING POWER
11,000 (1) |
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7 |
SOLE DISPOSITIVE POWER
627,508 |
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8 |
SHARED DISPOSITIVE POWER
11,000 (1) |
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9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
638,508
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10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ☐
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11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.3% |
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12 |
TYPE OF REPORTING PERSON
IN |
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Item 1(a). Name of Issuer:
Guaranty Bancshares, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
201 South Jefferson Avenue
Mount Pleasant, Texas 75455
Item 2(a). Name of Person Filing:
Richard W. Baker
Item 2(b). Address of Principal Business Office or, if None, Residence:
2305 County Road 3210
Mt. Pleasant, TX 75455
Item 2(c). Citizenship:
Texas, USA
Item 2(d). Title of Class of Securities:
Common Stock, par value $1.00 per share
Item 2(e). CUSIP Number:
400764106
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.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1:
(a) Amount beneficially owned: 627,508 shares of Common Stock
(b) Percent of Class: 5.3%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote: 627,508
(ii) shared power to vote or direct the vote: 11,000
(iii) sole power to dispose or direct the disposition of: 627,508
(iv) shared power to dispose or direct the disposition of: 11,000
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable
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
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: January 20, 2023
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Richard W. Baker