Irwin Financial Corp - Initial Statement of Beneficial Ownership (3)
October 07 2008 - 10:58AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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February 28, 2011
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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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1. Name and Address of Reporting Person
*
Rinaldi John W
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/3/2008
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3. Issuer Name
and
Ticker or Trading Symbol
IRWIN FINANCIAL CORP [IFC]
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(Last)
(First)
(Middle)
IRWIN FINANCIAL CORPORATION, 500 WASHINGTON STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
President of Subsidiary /
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(Street)
COLUMBUS, IN 47201
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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COMMON STOCK
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14150
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (Right to Buy)
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4/29/2004
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(2)
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COMMON STOCK
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4000
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$23.89
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D
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Non-Qualified Stock Option (Right to Buy)
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3/23/2005
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(2)
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COMMON STOCK
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4400
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$20.625
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D
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Non-Qualified Stock Option (Right to Buy)
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4/17/2006
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(2)
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COMMON STOCK
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3600
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$18.08
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D
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Non-Qualified Stock Option (Right to Buy)
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5/9/2007
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(2)
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COMMON STOCK
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3900
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$17.09
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D
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Non-Qualified Stock Option (Right to Buy)
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2/4/2008
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(2)
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COMMON STOCK
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721
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$10.21
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D
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Explanation of Responses:
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(
1)
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Includes 1,124 restricted stock shares with performance vesting determined by a three-year average of the Irwin Financial Corporation Short-term Incentive Plan multiple.
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(
2)
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The Plan provides for phased-in vesting of rights to exercise granted stock options. In the year of the grant, optionee may exercise 25% of total options granted. In each of the three years immediately following the year of the grant, optionee may exercise an additional 25% of the options granted. Grant of option was made to reporting person in a transaction exempt under Rule 16b-3.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Rinaldi John W
IRWIN FINANCIAL CORPORATION
500 WASHINGTON STREET
COLUMBUS, IN 47201
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President of Subsidiary
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Signatures
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John W. Rinaldi
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10/6/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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