SEC Form 4 · accession 0000899243-18-022336
CHARTER FINANCIAL CORP · CHFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Washam
Officer — President
Period of report
Aug 8, 2018
Accepted (ET)
Aug 14, 2018 · 5:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001478726
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 8, 2018 | M | 37,411 | $8.18 | A | 155,008 | D | |
| Common Stock | Aug 8, 2018 | M | 24,062 | $10.89 | A | 179,070 | D | |
| Common Stock | Aug 8, 2018 | F | 33,076 | $24.00 | D | 145,994 | D | |
| Common StockF1 | Aug 9, 2018 | S | 13,000 | $24.09 | D | 132,994 | D | |
| Common StockF1 | Aug 10, 2018 | S | 15,397 | $24.17 | D | 117,597 | D | |
| Common StockF2 | Aug 9, 2018 | S | 1,482 | $24.07 | D | 0 | I | By 401(k) |
| Common Stock | holding | — | — | — | 19,105 | I | By ESOP | |
| Common Stock | holding | — | — | — | 35,757 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $8.18 | Aug 8, 2018 | M | 37,411 | D | Jun 22, 2011 | Jun 22, 2020 | Common Stock | 37,411 | 0 | D |
| Stock Option | $10.89 | Aug 8, 2018 | M | 24,062 | D | Dec 16, 2014 | Dec 16, 2023 | Common Stock | 24,062 | 118,832 | D |
Explanation of responses
- F1Reflects the weighted average sale price of multiple open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The range of prices for the sale transactions on August 9, 2018, was $24.05 to $24.15, and the range of prices for the sale transactions on August 10, 2018, was $24.05 to $24.26. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Reflects the weighted average sale price of multiple sale transactions effected by the Reporting Person on the same day at different prices under the Issuer's 401(k) plan. The range of prices for the sale transactions was $24.04 to $24.07. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.