SEC Form 4/A · accession 0001564476-17-000004
WashingtonFirst Bankshares, Inc. · WFBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard D Horn
Officer — General Counsel · Director
Period of report
Feb 27, 2017
Accepted (ET)
May 1, 2017 · 10:37 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001476264
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,050 | I | By Son (Griffin Horn) | |
| Common StockF1 | holding | — | — | — | 1,050 | I | By Daughter (Tess Horn) | |
| Common StockF1 | holding | — | — | — | 63,680 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $28.22 | Feb 27, 2017 | A | 3,000 | A | — | Feb 27, 2027 | Common Stock | 3,000 | 3,000 | D |
| Stock OptionF3,F4,F5 | $15.1619 | holding | — | — | — | — | Mar 9, 2025 | Common Stock | 4,200 | 4,200 | D |
| Stock OptionF3,F6,F5 | $10.0317 | holding | — | — | — | — | May 1, 2023 | Common Stock | 8,269 | 8,269 | D |
| Stock OptionF3,F7,F5 | $20.00 | holding | — | — | — | — | Feb 25, 2016 | Common Stock | 4,200 | 4,200 | D |
| Stock OptionF3,F5 | $11.5189 | holding | — | — | — | Jan 31, 2013 | Jan 31, 2018 | Common Stock | 6,076 | 6,076 | D |
| Stock OptionF3,F5 | $13.1682 | holding | — | — | — | May 10, 2012 | May 10, 2017 | Common Stock | 3,487 | 3,487 | D |
Explanation of responses
- F1Includes stock dividend of five percent that was distributed on December 28, 2016.
- F2Options vest annually in five equal installments commencing on February 27, 2018.
- F3Exercise price adjusted to account for the 5% stock dividend distributed on December 28, 2016.
- F4Options vest annually in five equal installments commencing on March 9, 2016, fully vesting on March 9, 2020.
- F5Number of shares adjusted to account for the 5% stock dividend distributed December 28, 2016.
- F6Options vest annually in five equal installments commencing on May 1, 2013, fully vesting on May 1, 2018.
- F7Options vest annually in five equal installments commencing on February 25, 2017, fully vesting on February 25, 2021.
Remarks
This Form 4/A is being filed to correct an inadvertent error in the number of derivative securities beneficially owned by the Reporting Person. The Form 4 filed on 3/6/2017 reported the number of stock options exercisable on 5/10/2012 at an exercise price of $13.1682 as 3,437 and this Form 4/A reports the correct amount as 3,487. In addition, the total number of non-derivative securities owned by the Reporting Person was adjusted by one share to account for a record discrepancy resulting from the rounding of fractional shares.