SEC Form 4 · accession 0001519695-15-000020
TCF FINANCIAL CORP · TCF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry N Winslow
Officer — Vice Chairman · Director
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000814184
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF6,F7 | Jan 20, 2015 | A | 3,190 | — | A | 4,573 | D | |
| Common StockF1,F5 | holding | — | — | — | 0 | I | By KSOP | |
| Common StockF1,F2 | holding | — | — | — | 27,876 | I | By SERP Trust as of 7/31/2014 | |
| Common StockF1,F2 | holding | — | — | — | 50,000 | I | Deferred Stock Compensation Plan | |
| Common StockF1 | holding | — | — | — | 44,755 | I | Revocable Spouse Trust | |
| Common StockF1 | holding | — | — | — | 262,394 | I | Irrevocable Trust | |
| Preferred Stock Series A (TCBPRB)F4 | holding | — | — | — | 20,000 | D | ||
| Common StockF1,F5 | holding | — | — | — | 66,098 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F3 | $12.85 | holding | — | — | — | — | Aug 1, 2018 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The filing of this statement shall not be construed as an admission that the undersigned is, for the purpose of Section 16 of the Securities and Exchange Act of 1934, the beneficial owner of any equity securities covered by this statement other than those owned by the undersigned.
- F2The shares noted are derivative securities based on the Reporting Person's benefits under a non-qualified plan.
- F3The option vested in 2 installments: 50% vested on January 1, 2011; the remaining 50% on January 1, 2012.
- F4Represents depositary shares each representing 1/1000th interest in a share of Series A Non-Cumulative Perpetual Preferred Stock of TCF Financial Corporation.
- F5Reflects the transfer of shares from KSOP to IRA on September 4, 2014.
- F6Restricted stock award pursuant to the Issuer's Director Stock Grant Program in a transaction exempt under Rule 16b-3.
- F7Price is not applicable.