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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 02/24/2017 | M | 9,485 | (4) | (4) | Common Shares | 9,485 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hileman Donald P. 601 CLINTON STREET DEFIANCE, OH 43512 |
X | President and CEO |
/s/ Donald P. Hileman | 03/07/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents common shares earned in connection with the settlement of performance-based restricted stock units previously granted on March 21, 2014 pursuant a 2014 Long-Term Incentive Award Agreement under the First Defiance Financial Corp. 2010 Equity Incentive Plan. |
(2) | The ending balance differs from amounts previously reported because of shares acquired under an employee stock purchase plan. |
(3) | Each restricted stock unit represents a contingent right to receive one common share. |
(4) | The restricted stock units were awarded pursuant to a 2014 Long-Term Incentive Award Agreement under the First Defiance Financial Corp. 2010 Equity Incentive Plan on March 21, 2014 and represent a target amount of common shares to be earned by the reporting person upon the achievement of certain performance criteria during the 2014 to 2016 performance period, subject to the reporting person's continued employment. As of February 24, 2017, a percentage of the restricted stock units were awarded following certification of financial results by the issuer's compensation committee. |
(5) | This Form 4/A is being filed to amend the Form 4 filed by the reporting person on February 28, 2017 to correct an inadvertent administrative error in the number of shares reported as beneficiary owned by the reporting person as of February 24, 2017. This Form 4/A correctly restates such information. |