0000896595-18-000017.txt : 20180731
0000896595-18-000017.hdr.sgml : 20180731
20180731181234
ACCESSION NUMBER: 0000896595-18-000017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180730
FILED AS OF DATE: 20180731
DATE AS OF CHANGE: 20180731
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FAIRFIELD THOMAS L
CENTRAL INDEX KEY: 0001642744
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14667
FILM NUMBER: 18982325
MAIL ADDRESS:
STREET 1: C/O WMIH CORP.
STREET 2: 800 FIFTH AVENUE, SUITE 4222
CITY: SEATTLE
STATE: WA
ZIP: 98104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: WMIH CORP.
CENTRAL INDEX KEY: 0000933136
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 911653725
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 800 FIFTH AVENUE
STREET 2: SUITE 4100
CITY: SEATTLE
STATE: WA
ZIP: 98104
BUSINESS PHONE: 206-922-2957
MAIL ADDRESS:
STREET 1: 800 FIFTH AVENUE
STREET 2: SUITE 4100
CITY: SEATTLE
STATE: WA
ZIP: 98104
FORMER COMPANY:
FORMER CONFORMED NAME: WMI HOLDINGS CORP.
DATE OF NAME CHANGE: 20120320
FORMER COMPANY:
FORMER CONFORMED NAME: WASHINGTON MUTUAL, INC
DATE OF NAME CHANGE: 20061017
FORMER COMPANY:
FORMER CONFORMED NAME: WASHINGTON MUTUAL INC
DATE OF NAME CHANGE: 19941123
4
1
f4fairfield072018.xml
OWNERSHIP DOCUMENT
X0306
4
2018-07-30
0
0000933136
WMIH CORP.
WMIH
0001642744
FAIRFIELD THOMAS L
C/O WMIH CORP.
800 FIFTH AVENUE, SUITE 4222
SEATTLE
WA
98104
0
1
0
0
President & COO
Common Stock
2018-07-30
4
A
0
507936
1.42
A
2285714
D
Common Stock
2018-07-31
4
F
0
1000000
1.42
D
1285714
D
This restricted stock award was issued pursuant to a Restricted Stock Agreement, dated as of July 30, 2018, between WMHI Corp. (the "Company") and Mr. Fairfield that was entered into in connection with that certain Employment Agreement (as amended, the "Employment Agreement"), dated as of May 15, 2015, between the Company and Mr. Fairfield, to increase the award of restricted stock pursuant to the Employment Agreement, to take into account the decrease to the Series B Preferred Stock conversion price pursuant to an amendment to the Series B Preferred Stock. The restricted stock award will vest in full upon the consummation of a Qualifying Acquisition (as defined in the Employment Agreement), subject to Mr. Fairfield's continued employment with the Company until such time.
(Continued from Footnote 1) However, if the Company consummates a Qualifying Acquisition within six months following a termination of Mr. Fairfield's employment by the Company without Cause (as defined in the Employment Agreement), due to Mr. Fairfield's resignation for Good Reason (as defined in the Employment Agreement) or as a result of Mr. Fairfield's death, disability or the expiration of the Employment Period (as defined in the Employment Agreement), then the restricted shares will vest at the time of the consummation of the Qualifying Acquisition.
This restricted stock award has an initial value of $1.42 per share.
/s/ Thomas L. Fairfield
2018-07-31