FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
DFC GLOBAL CORP. [ DLLR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/13/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 Stock | 06/13/2014 | D | 20,816 | D | $9.5(1) | 135,036 | D | |||
Common Stock | 06/13/2014 | D | 135,036 | D | $9.5(2) | 0 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 | ||||||||
Employee stock option (right to buy) | $7.8 | 06/13/2014 | D | 37,500 | (3) | 04/27/2015 | Common Stock | 37,500 | $1.7(3) | 60,096 | D | ||||
Employee stock option (right to buy) | $4.6533 | 06/13/2014 | D | 60,096 | (4) | 12/04/2018 | Common Stock | 60,096 | $4.8467(4) | 0 | D |
Explanation of Responses: |
1. In connection with an Agreement and Plan of Merger among LSF8 Sterling Merger Parent, LLC (as successor in interest to LSF8 Sterling Parent, LLC), LSF8 Sterling Merger Sub, LLC (as successor in interest to LSF8 Sterling Merger Company, LLC) and DFC Global Corp., dated as of April 1, 2014 (the "Merger Agreement"), this amount represents restricted stock units that were fully earned and vested and were cancelled in exchange for a cash payment of $9.50 per share on the effective date of the merger. |
2. Disposed of pursuant to the Merger Agreement in exchange for a cash payment of $9.50 per share on the effective date of the merger. |
3. This option was granted on April 27, 2005. Pursuant to the terms of the Merger Agreement, this option was cancelled in exchange for a cash payment of $63,750.00, representing the aggregate difference between the merger consideration of $9.50 per share and the exercise price of the option on the effective date of the merger. |
4. This option was granted on December 4, 2008. Pursuant to the terms of the Merger Agreement, this option was cancelled in exchange for a cash payment of $291,267.28, representing the aggregate difference between the merger consideration of $9.50 per share and the exercise price of the option on the effective date of the merger. |
Remarks: |
Bill Athas, Attorney in Fact | 06/17/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |