SEC Form 4 · accession 0001127602-17-006405
BankFinancial CORP · BFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F Morgan Gasior
Officer — Chairman, CEO & President · Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 15, 2017 · 6:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001303942
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 14, 2017 | M | 40,000 | $12.99 | A | 162,080 | D | |
| Common Stock | Feb 14, 2017 | F | 37,437 | $14.70 | D | 124,643 | D | |
| Common StockF1 | holding | — | — | — | 46,110 | I | By 401k | |
| Common StockF2 | holding | — | — | — | 16,137 | I | By Employee Stock Ownership Plan | |
| Common StockF3 | holding | — | — | — | 2,500 | I | By spouse's IRA | |
| Common StockF3 | holding | — | — | — | 122,500 | I | By spouse's trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Rights to Buy)F4 | $12.99 | Feb 14, 2017 | M | 40,000 | D | — | Jun 26, 2017 | Common Stock | 40,000 | 10,000 | D |
| Stock Options (Rights to Buy)F5 | $11.99 | holding | — | — | — | — | Jun 26, 2017 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The information in this report is based on the 401(k) report dated February 14, 2017.
- F2Reflects ESOP allocations that occurred as of December 31, 2015.
- F3The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F4Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing March 31, 2016.
- F5Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing September 30, 2015.