SEC Form 4 · accession 0001209191-16-150896
TIAA FSB Holdings, Inc. · EVER
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John S Surface
Officer — Executive Vice President
Period of report
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 4:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001502749
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per share | Nov 16, 2016 | M | 55,485 | $13.21 | A | 284,844 | D | |
| Common Stock, par value $0.01 per shareF1 | Nov 16, 2016 | S | 55,485 | $19.3181 | D | 229,359 | D | |
| Common Stock, par value $0.01 per share | Nov 16, 2016 | M | 29,182 | $13.88 | A | 258,541 | D | |
| Common Stock, par value $0.01 per shareF1 | Nov 16, 2016 | S | 29,182 | $19.3181 | D | 229,359 | D | |
| Common Stock, par value $0.01 per share | Nov 16, 2016 | M | 183,333 | $15.88 | A | 412,692 | D | |
| Common Stock, par value $0.01 per shareF1 | Nov 16, 2016 | S | 183,333 | $19.3181 | D | 229,359 | D | |
| Common Stock, par value $0.01 per share | Nov 16, 2016 | M | 23,240 | $16.71 | A | 252,599 | D | |
| Common Stock, par value $0.01 per shareF1 | Nov 16, 2016 | S | 23,240 | $19.3181 | D | 229,359 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 16, 2016 | S | 178,748 | $19.3241 | D | 50,611 | D | |
| Common Stock, par value $0.01 per share | Nov 17, 2016 | S | 35,252 | $19.32 | D | 15,359 | D | |
| Common Stock, par value $0.01 per share | holding | — | — | — | 19,257 | I | Held through the reporting person's relationship with Surface Investment Partnership, Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $13.21 | Nov 16, 2016 | M | 55,485 | D | Jul 21, 2011 | Jul 20, 2018 | Common Stock, par value $0.01 per share | 55,485 | 0 | D |
| Employee Stock Option (right to buy) | $13.83 | Nov 16, 2016 | M | 29,182 | D | Feb 27, 2013 | Feb 27, 2022 | Common Stock, par value $0.01 per share | 29,182 | 0 | D |
| Employee Stock Option (right to buy) | $15.88 | Nov 16, 2016 | M | 183,333 | D | Jul 21, 2012 | Jul 20, 2018 | Common Stock, par value $0.01 per share | 183,333 | 0 | D |
| Employee Stock Option (right to buy) | $16.71 | Nov 16, 2016 | M | 23,240 | D | Mar 6, 2016 | Mar 6, 2023 | Common Stock, par value $0.01 per share | 23,240 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.31 to $19.33, inclusive. The reporting person undertakes to provide to EverBank Financial Corp, any security holder of EverBank Financial Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each seperate price within the range set forth in this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.32 to $19.33, inclusive. The reporting person undertakes to provide to EverBank Financial Corp, any security holder of EverBank Financial Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each seperate price within the range set forth in this Form 4.