SEC Form 4 · accession 0001144204-15-063435
FIRST DEFIANCE FINANCIAL CORP · FDEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R. Williams III
Officer — Executive Vice President
Period of report
Nov 4, 2015
Accepted (ET)
Nov 6, 2015 · 5:31 pm EST
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 Shares | Nov 4, 2015 | M | 750 | $26.47 | A | 5,248 | D | |
| Common Shares | Nov 4, 2015 | M | 500 | $27.41 | A | 5,748 | D | |
| Common Shares | Nov 4, 2015 | M | 500 | $17.64 | A | 6,248 | D | |
| Common SharesF1 | Nov 4, 2015 | M | 500 | $9.22 | A | 6,748 | D | |
| Common Shares | holding | — | — | — | 2,814 | I | Held By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option To BuyF2 | $26.47 | Nov 4, 2015 | M | 750 | D | May 22, 2007 | May 22, 2016 | Common Shares | 750 | 0 | D |
| Stock Option To BuyF2 | $27.41 | Nov 4, 2015 | M | 500 | D | Apr 16, 2008 | Apr 16, 2017 | Common Shares | 500 | 0 | D |
| Stock Option To BuyF2 | $17.64 | Nov 4, 2015 | M | 500 | D | Apr 21, 2009 | Apr 21, 2018 | Common Shares | 500 | 0 | D |
| Stock Option To BuyF2 | $9.22 | Nov 4, 2015 | M | 500 | D | Apr 20, 2010 | Apr 20, 2019 | Common Shares | 500 | 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 shares became exercisable over a 5 year period, beginning on this date