SEC Form 4 · accession 0001033012-18-000094
FLAGSTAR BANCORP INC · (NYSE:FBC)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alessandro DiNello
Officer — CEO and President · Director
Period of report
Jun 28, 2018
Accepted (ET)
Jul 2, 2018 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001033012
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Flagstar Bancorp, Inc. Common Stock | Jun 19, 2018 | G | 175 | $0.00 | D | 190,359 | D | |
| Flagstar Bancorp, Inc. Common StockF1 | holding | — | — | — | 14,549 | I | By 401(k) Plan | |
| Flagstar Bancorp, Inc. Common Stock | holding | — | — | — | 1,274 | I | By IRA | |
| Flagstar Bancorp, Inc. Common Stock | holding | — | — | — | 206 | I | By Wife's Trust | |
| Flagstar Bancorp, Inc. Common StockF2 | holding | — | — | — | 34,500 | I | By Trust fbo Son AD | |
| Flagstar Bancorp, Inc. Common StockF2 | holding | — | — | — | 25,000 | I | By Trust fbo Daughter CG | |
| Flagstar Bancorp, Inc. Common StockF3 | holding | — | — | — | 2,060 | I | By Trust fbo gchild AD | |
| Flagstar Bancorp, Inc. Common StockF3 | holding | — | — | — | 2,060 | I | By Trust fbo gchild DD | |
| Flagstar Bancorp, Inc. Common StockF3 | holding | — | — | — | 1,000 | I | By Trust fbo gchild LG |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (LSR062818)F4,F5 | — | Jun 28, 2018 | A | 1,441 | A | Jun 28, 2019 | Jun 28, 2021 | Flagstar Bancorp, Inc. Common Stock | 1,441 | 1,441 | D |
Explanation of responses
- F1Because the stock fund component of the 401(k) Plan is accounted for in unit accounting, the number of share equivalents varies based on the closing price of Flagstar Bancorp, Inc. stock on the applicable measurement date.
- F2These shares are held in a trust for the benefit of the reporting person's child. The reporting person's spouse is a co-trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3These shares are held in a trust for the benefit of the reporting person's grandchild. The reporting person's spouse is a co-trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F4Each restricted stock unit represents a contingent right to receive one share of Flagstar Bancorp, Inc. Common Stock.
- F5These restricted stock units vest in equal amounts on the anniversary of the grant date over a period of three years.