SEC Form 4 · accession 0001144204-15-045987
FIRST DEFIANCE FINANCIAL CORP · FDEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marybeth Shunck
Officer — EVP- Northern Market
Period of report
Aug 3, 2015
Accepted (ET)
Aug 4, 2015 · 11:30 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Aug 3, 2015 | M | 1,000 | $27.05 | A | 1,028 | D | |
| Common Shares | Aug 3, 2015 | M | 500 | $27.41 | A | 1,528 | D | |
| Common Shares | Aug 3, 2015 | M | 750 | $17.64 | A | 2,278 | D | |
| Common Shares | Aug 3, 2015 | M | 750 | $9.22 | A | 3,028 | D | |
| Common SharesF2 | Aug 3, 2015 | S | 3,000 | $38.2967 | D | 28 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F3 | $27.05 | Aug 3, 2015 | M | 1,000 | D | — | Dec 19, 2015 | Common Stock | 1,000 | 0 | D |
| Stock Options (right to buy)F3 | $27.41 | Aug 3, 2015 | M | 500 | D | — | Apr 16, 2017 | Common Stock | 500 | 0 | D |
| Stock Options (right to buy)F3 | $17.64 | Aug 3, 2015 | M | 750 | D | — | Apr 21, 2018 | Common Stock | 750 | 0 | D |
| Stock Options (right to buy)F3 | $9.22 | Aug 3, 2015 | M | 750 | D | — | Apr 20, 2019 | Common Stock | 750 | 0 | D |
Explanation of responses
- F1The ending balance differs from amounts previously reported because of shares acquired under a dividend reinvestment plan and an employee stock purchase plan.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.2601 to $38.365, inclusive. The reporting person undertakes to provide to FDEF, any security holder of FDEF, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth.
- F3Options vested equally over a five year period and are fully vested.