SEC Form 4 · accession 0001437749-18-022503
FFBW, Inc. · FFBW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nikola B. Schaumberg
Officer — Chief Financial Officer
Period of report
Dec 19, 2018
Accepted (ET)
Dec 21, 2018 · 3:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001709017
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| FFBW, Inc.[FFBW]F1 | Dec 19, 2018 | A | 12,960 | $0.00 | A | 14,960 | D | |
| FFBW, Inc.[FFBW] | holding | — | — | — | 4,000 | I | Held through spouse's IRA | |
| FFBW, Inc.[FFBW] | holding | — | — | — | 186 | I | Held in ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $10.73 | Dec 19, 2018 | A | 32,401 | A | Dec 19, 2019 | Dec 19, 2028 | FFBW, Inc [FFBW] | 32,401 | 32,401 | D |
Explanation of responses
- F1(1) Shares of restricted stock vest at a rate of 20% per yer commencing on December 19, 2019.
- F2(2) Stock options vest at a rate of 20% per year commencing on December 19, 2019.