SEC Form 4 · accession 0001144204-17-015545
FIRST DEFIANCE FINANCIAL CORP · FDEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel S Strausbaugh
Director
Period of report
Mar 16, 2016
Accepted (ET)
Mar 20, 2017 · 11:13 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 SharesF2 | Mar 16, 2016 | M | 2,000 | $27.41 | A | 11,683 | D | |
| Common SharesF2 | Mar 16, 2016 | M | 400 | $17.64 | A | 12,083 | D | |
| Common SharesF2 | Mar 16, 2016 | M | 400 | $9.22 | A | 12,483 | D | |
| Common SharesF2 | Mar 16, 2016 | F | 600 | $49.94 | D | 11,883 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $27.41 | Mar 16, 2016 | M | 2,000 | D | Apr 16, 2008 | Apr 16, 2017 | Common Shares | 2,000 | 0 | D |
| Stock Option (Right to Buy)F1 | $17.64 | Mar 16, 2016 | M | 400 | D | Apr 21, 2009 | Apr 21, 2018 | Common Shares | 400 | 0 | D |
| Stock Option (Right to Buy)F1 | $9.22 | Mar 16, 2016 | M | 400 | D | Apr 20, 2010 | Apr 20, 2019 | Common Shares | 400 | 0 | D |
Explanation of responses
- F1Options vest 20% per year on the anniversary date of the grant. Options with an exercise price of $9.22 will fully vested on 04/20/2014, options with an exercise price of $17.64 fully vested on 04/21/2013, and options with an exercise price of $27.41 fully vested on 04/16/2012.
- F2The ending balance differs from amounts previously reported because of shares acquired under a dividend reinvestment plan.