SEC Form 4 · accession 0001144204-19-001340
FIRST DEFIANCE FINANCIAL CORP · FDEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean A. Hubbard
Director
Period of report
Jan 8, 2019
Accepted (ET)
Jan 10, 2019 · 3:44 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 SharesF1 | Jan 8, 2019 | M | 1,000 | $4.61 | A | 13,422 | D | |
| Common Shares | Jan 8, 2019 | F | 178 | $25.76 | D | 13,244 | 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 To BuyF2,F3 | $4.61 | Jan 8, 2019 | M | 1,000 | A | Apr 20, 2010 | Apr 22, 2019 | Common Shares | 1,000 | 0 | D |
Explanation of responses
- F1On July 13, 2018, the issuer split its common shares 2-for-1 (the "Stock Split"), resulting in the reporting person's ownership of 6,111.1320 additional common shares.
- F2This option was previously reported as covering 500 common shares at an exercise price of $9.22 per share, but was adjusted to reflect the Stock Split.
- F3The options vested 20% per year, beginning on this date.