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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 | ||||||||
Stock Options (Rights to Buy) | $ 12.99 | (4) | 06/26/2017 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Options (Rights to Buy) | $ 11.99 | (5) | 06/26/2017 | Common Stock | 5,000 | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Deutsch William J. Jr. 15W060 NORTH FRONTAGE ROAD BURR RIDGE, IL 60527 |
President - Affiliate |
/s/ F. Morgan Gasior, pursuant to power of attorney | 05/02/2016 | |
**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) | Performance Based Stock Awards granted May 14, 2013 pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation will vest over three performance periods subject to achievement of performance goals. Measurement dates for performance goals are December 31, 2013, 2014 and 2015. He will have the right to receive dividends and vote these shares prior to vesting. The performance measures for December 31, 2015 were met with respect to the 1,740 shares resulting in the vesting of such awards. |
(2) | The information in this report is based on the 401(k) report dated April 27, 2016. |
(3) | Reflects ESOP allocations that occurred as of December 31, 2015. |
(4) | Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing March 31, 2016. |
(5) | Stock Option Awards granted pursuant to the 2006 Equity Incentive Plan of BankFinancial Corporation vest ratably over four quarterly installments commencing September 30, 2015. |