SEC Form 5 · accession 0001564490-15-000002
WashingtonFirst Bankshares, Inc. · WFBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Madhu K Mohan
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 9:01 am EST
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 | Feb 13, 2015 | J | 1,167 | $0.00 | A | 24,507 | I | Mangal Katikineni, IRA |
| Common StockF1 | Feb 13, 2015 | J | 531 | $0.00 | A | 11,155 | I | By the Sheela Katikineni Trust |
| Common StockF1 | Feb 13, 2015 | J | 276 | $0.00 | A | 5,800 | I | By the Nisha Katikineni Trust |
| Common StockF1,F2 | Feb 13, 2015 | J | 9,671 | $0.00 | A | 203,129 | I | MMK Family Trust |
| Common StockF3 | Feb 13, 2015 | J | 866 | $0.00 | D | 0 | I | By Anita V. Katikineni |
| Common StockF4 | Feb 13, 2015 | J | 866 | $0.00 | D | 0 | I | By Veena S. Katikineni |
| Common StockF1,F5 | Feb 13, 2015 | J | 797 | $0.00 | A | 16,764 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1,F6 | $10.8028 | Feb 13, 2015 | J | 55 | A | Jul 22, 2012 | Jul 22, 2018 | Common Stock | 55 | 1,157 | D |
| Stock OptionF1,F6 | $8.6855 | Feb 13, 2015 | J | 55 | A | Jun 11, 2012 | Dec 11, 2019 | Common Stock | 55 | 1,157 | D |
| Stock OptionF1,F6 | $13.8255 | Feb 13, 2015 | J | 126 | A | May 10, 2012 | May 10, 2017 | Common Stock | 126 | 2,661 | D |
| Stock OptionF1,F6 | $12.108 | Feb 13, 2015 | J | 32 | A | Oct 25, 2006 | Oct 25, 2016 | Common Stock | 32 | 674 | D |
Explanation of responses
- F1A stock dividend of five percent was distributed on September 2, 2014.
- F2Amount of Shares Beneficially Owned increased by 1 share to correct an inadvertent error.
- F3Shares owned by Anita V. Katikineni were re-registered in the name of the reporting owner in 2013. Reporting owner's Form 5 filed for the fiscal year ending December 31, 2013 correctly reported those shares as being directly owned by the reporting owner, but inadvertently also reported them as being owned indirectly through Ms. Katikineni.
- F4Shares owned by Veena S. Katikineni were re-registered in the name of the reporting owner in 2013. Reporting owner's Form 5 filed for the fiscal year ending December 31, 2013 correctly reported those shares as being directly owned by the reporting owner, but inadvertently also reported them as being owned indirectly through Ms. Katikineni.
- F5Amount of Shares Beneficially Owned increased by 25 shares to correct an inadvertent error.
- F6Exercise price adjusted to account for stock dividend distributed on September 2, 2014.