Statement of Changes in Beneficial Ownership (4)
June 03 2020 - 1:23PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SCHIRALDI RICHARD J |
2. Issuer Name and Ticker or Trading Symbol
FIRST DEFIANCE FINANCIAL CORP
[
FDEF
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
601 CLINTON STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2020 |
(Street)
DEFIANCE, OH 43512
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares | 6/1/2020 | | M | | 2041 | A | $3.82 | 5076 | D | |
Common Shares | 6/1/2020 | | M | | 1436 | A | $4.04 | 6512 | D | |
Common Shares | 6/1/2020 | | M | | 1763 | A | $3.23 | 8275 | D | |
Common Shares | 6/1/2020 | | M | | 1639 (1) | A | $3.50 | 9914 | D | |
Common Shares | 6/1/2020 | | M | | 1741 | A | $3.34 | 11655 | D | |
Common Shares | 6/1/2020 | | M | | 1720 (1) | A | $3.47 (2) | 13375 | D | |
Common Shares | 6/1/2020 | | M | | 1024 | A | $5.68 | 14399 | D | |
Common Shares | 6/1/2020 | | M | | 697 (1) | A | $8.18 (2) | 15096 | D | |
Common Shares | 6/1/2020 | | M | | 608 | A | $9.23 (2) | 15704 | D | |
Common Shares | 6/1/2020 | | M | | 608 | A | $9.15 (2) | 16312 | D | |
Common Shares | 6/1/2020 | | M | | 514 (1) | A | $10.87 (2) | 16826 | D | |
Common Shares | 6/1/2020 | | M | | 482 (1) | A | $11.63 | 17308 | D | |
Common Shares | 6/1/2020 | | M | | 546 | A | $10.28 (2) | 17854 | D | |
Common Shares | 6/1/2020 | | M | | 666 | A | $9.48 | 18520 | D | |
Common Shares | 6/1/2020 | | M | | 679 | A | $10.79 (2) | 19199 | D | |
Common Shares | 6/1/2020 | | M | | 676 | A | $11.31 | 19875 | D | |
Common Shares | 6/1/2020 | | M | | 624 | A | $12.76 | 20499 | D | |
Common Shares | 6/1/2020 | | M | | 814 | A | $14.40 (2) | 21313 | D | |
Common Shares | 6/1/2020 | | M | | 805 | A | $14.86 | 22118 | D | |
Common Shares | 6/1/2020 | | M | | 839 | A | $14.51 | 22957 | D | |
Common Shares | 6/1/2020 | | F | | 8514 | D | $16.61 | 14443 | D | |
Common Shares | | | | | | | | 57646 | I | The Richard J. Schiraldi Revocable Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $3.82 | 6/1/2020 | | M | | | 2041 | 1/31/2020 | 10/7/2020 | Common Shares | 2041 | $0 | 0 | D | |
Stock Option (Right to Buy) | $4.04 | 6/1/2020 | | M | | | 1436 | 1/31/2020 | 1/6/2021 | Common Shares | 1436 | $0 | 0 | D | |
Stock Option (Right to Buy) | $3.23 | 6/1/2020 | | M | | | 1763 | 1/31/2020 | 4/7/2021 | Common Shares | 1763 | $0 | 0 | D | |
Stock Option (Right to Buy) | $3.50 | 6/1/2020 | | M | | | 1639 (1) | 1/31/2020 | 7/7/2021 | Common Shares | 1639 (1) | $0 | 0 | D | |
Stock Option (Right to Buy) | $3.34 | 6/1/2020 | | M | | | 1741 | 1/31/2020 | 10/6/2021 | Common Shares | 1741 | $0 | 0 | D | |
Stock Option (Right to Buy) | $3.47 (2) | 6/1/2020 | | M | | | 1720 (1) | 1/31/2020 | 1/5/2022 | Common Shares | 1720 (1) | $0 | 0 | D | |
Stock Option (Right to Buy) | $5.68 | 6/1/2020 | | M | | | 1024 | 1/31/2020 | 4/5/2022 | Common Shares | 1024 | $0 | 0 | D | |
Stock Option (Right to Buy) | $8.18 (2) | 6/1/2020 | | M | | | 697 (1) | 1/31/2020 | 7/5/2022 | Common Shares | 697 (1) | $0 | 0 | D | |
Stock Option (Right to Buy) | $9.23 (2) | 6/1/2020 | | M | | | 608 | 1/31/2020 | 10/4/2022 | Common Shares | 608 | $0 | 0 | D | |
Stock Option (Right to Buy) | $9.15 (2) | 6/1/2020 | | M | | | 608 | 1/31/2020 | 1/3/2023 | Common Shares | 608 | $0 | 0 | D | |
Stock Option (Right to Buy) | $10.87 (2) | 6/1/2020 | | M | | | 514 (1) | 1/31/2020 | 4/4/2023 | Common Shares | 514 (1) | $0 | 0 | D | |
Stock Option (Right to Buy) | $11.63 | 6/1/2020 | | M | | | 482 (1) | 1/31/2020 | 7/3/2023 | Common Shares | 482 (1) | $0 | 0 | D | |
Stock Option (Right to Buy) | $10.28 (2) | 6/1/2020 | | M | | | 546 | 1/31/2020 | 10/3/2023 | Common Shares | 546 | $0 | 0 | D | |
Stock Option (Right to Buy) | $9.48 | 6/1/2020 | | M | | | 666 | 1/31/2020 | 1/2/2024 | Common Shares | 666 | $0 | 0 | D | |
Stock Option (Right to Buy) | $10.79 (2) | 6/1/2020 | | M | | | 679 | 1/31/2020 | 4/3/2024 | Common Shares | 679 | $0 | 0 | D | |
Stock Option (Right to Buy) | $11.31 | 6/1/2020 | | M | | | 676 | 1/31/2020 | 4/3/2024 | Common Shares | 676 | $0 | 0 | D | |
Stock Option (Right to Buy) | $12.76 | 6/1/2020 | | M | | | 624 | 1/31/2020 | 10/2/2024 | Common Shares | 624 | $0 | 0 | D | |
Stock Option (Right to Buy) | $14.40 (2) | 6/1/2020 | | M | | | 814 | 1/31/2020 | 1/8/2025 | Common Shares | 814 | $0 | 0 | D | |
Stock Option (Right to Buy) | $14.86 | 6/1/2020 | | M | | | 805 | 1/31/2020 | 4/2/2025 | Common Shares | 805 | $0 | 0 | D | |
Stock Option (Right to Buy) | $14.51 | 6/1/2020 | | M | | | 839 | 1/31/2020 | 7/2/2025 | Common Shares | 839 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Amount included corrects an inadvertent administrative error in the number of securities reported as beneficially owned on the reporting person's Form 4 filed on February 4, 2020. |
(2) | Price included corrects an inadvertent administrative error in the price reported on the reporting person's Form 4 filed on February 4, 2020. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SCHIRALDI RICHARD J 601 CLINTON STREET DEFIANCE, OH 43512 | X |
|
|
|
Signatures
|
/s/ Richard J. Schiraldi by Paul D. Nungester Jr., P.O.A | | 6/3/2020 |
**Signature of Reporting Person | Date |
First Defiance Financial (NASDAQ:FDEF)
Historical Stock Chart
From Jun 2024 to Jul 2024
First Defiance Financial (NASDAQ:FDEF)
Historical Stock Chart
From Jul 2023 to Jul 2024