SEC Form 3 · accession 0001171520-16-000905
West End Indiana Bancshares, Inc. · WEIN.OB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 1, 2016
Accepted (ET)
Apr 21, 2016 · 12:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001523854
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 6,698 | D | ||
| Common StockF1 | holding | — | — | — | 104,792 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Martin S Friedman (the "Reporting Person") is the managing member of FJ Capital Management LLC ("FJ Capital"), which is the Managing Member of Financial Opportunity Fund LLC ("FOF") which holds 102,703 shares of the issuer. Martin S. Friedman, in his capacity as Managing Member of FJ Capital, has voting and dispositive power over the 102,703 shares of the issuer held by FOF. Andrew Jose is a founding member of FJ Capital and owns 2,089 shares of the issuer. Andrew Jose has dispositive power on the 102,703 share of the issuer held by FOF. Mr. Friedman disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission of beneficial ownership of such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Remarks
Item #4 on page 1 of 2: Relationship of Reporting Person(s) to Issuer, Other: On April 1, 2016, West End Indiana Bancshares, Inc. (WEIN) filed their form 10-K. Subsequently, FJ Capital discovered WEIN had completed a stock repurchase which resulted in FJ Capital exceeding the 10% ownership threshold.