SEC Form 4 · accession 0001127602-17-006410
BankFinancial CORP · BFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia Smith
Officer — EVP
Period of report
Feb 14, 2017
Accepted (ET)
Feb 15, 2017 · 6:51 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 | 42,500 | $12.99 | A | 57,500 | D | |
| Common Stock | Feb 14, 2017 | F | 39,699 | $14.70 | D | 17,801 | D | |
| Common StockF1 | holding | — | — | — | 17,085 | I | By 401k | |
| Common StockF2 | holding | — | — | — | 11,504 | I | By Employee Stock Ownership Plan |
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)F3 | $12.99 | Feb 14, 2017 | M | 42,500 | D | — | Jun 26, 2017 | Common Stock | 42,500 | 0 | D |
| Stock Options (Rights to Buy)F4 | $11.99 | holding | — | — | — | — | Jun 26, 2017 | Common Stock | 42,500 | 42,500 | 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.
- F3Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing March 31, 2016.
- F4Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing September 30, 2015.