0001104659-20-010332.txt : 20200204 0001104659-20-010332.hdr.sgml : 20200204 20200204124019 ACCESSION NUMBER: 0001104659-20-010332 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200131 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHIRALDI RICHARD J CENTRAL INDEX KEY: 0001228732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26850 FILM NUMBER: 20572332 MAIL ADDRESS: STREET 1: 275 FEDERAL PLAZA WEST CITY: YOUNGSTOWN STATE: OH ZIP: 44503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST DEFIANCE FINANCIAL CORP CENTRAL INDEX KEY: 0000946647 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 341803915 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 601 CLINTON ST CITY: DEFIANCE STATE: OH ZIP: 43512 BUSINESS PHONE: 4107825015 MAIL ADDRESS: STREET 1: 601 CLINTON ST CITY: DEFIANCE STATE: OH ZIP: 43512 4 1 tm206661d8_4.xml OWNERSHIP DOCUMENT X0306 4 2020-01-31 0 0000946647 FIRST DEFIANCE FINANCIAL CORP FDEF 0001228732 SCHIRALDI RICHARD J 601 CLINTON STREET DEFIANCE OH 43512 1 0 0 0 Common Shares 2020-01-31 4 A 0 2033 A 2033 D Common Shares 2020-01-31 4 A 0 57383 A 57383 I The Richard J. Schiraldi Revocable Trust Stock Option (Right to Buy) 3.83 2020-01-31 4 A 0 2041 A 2020-01-31 2022-10-07 Common Shares 2041 2041 D Stock Option (Right to Buy) 4.04 2020-01-31 4 A 0 1436 A 2020-01-31 2021-01-06 Common Shares 1436 1436 D Stock Option (Right to Buy) 3.23 2020-01-31 4 A 0 1763 A 2020-01-31 2021-04-07 Common Shares 1763 1763 D Stock Option (Right to Buy) 3.50 2020-01-31 4 A 0 1638 A 2020-01-31 2021-07-07 Common Shares 1638 1638 D Stock Option (Right to Buy) 3.34 2020-01-31 4 A 0 1741 A 2020-01-31 2021-10-06 Common Shares 1741 1741 D Stock Option (Right to Buy) 3.48 2020-01-31 4 A 0 1719 A 2020-01-31 2022-01-05 Common Shares 1719 1719 D Stock Option (Right to Buy) 5.68 2020-01-31 4 A 0 1024 A 2020-01-31 2022-04-05 Common Shares 1024 1024 D Stock Option (Right to Buy) 8.19 2020-01-31 4 A 0 696 A 2020-01-31 2022-07-05 Common Shares 696 696 D Stock Option (Right to Buy) 9.24 2020-01-31 4 A 0 608 A 2020-01-31 2022-10-04 Common Shares 608 608 D Stock Option (Right to Buy) 9.16 2020-01-31 4 A 0 608 A 2020-01-31 2023-01-03 Common Shares 608 608 D Stock Option (Right to Buy) 10.88 2020-01-31 4 A 0 513 A 2020-01-31 2023-04-04 Common Shares 513 513 D Stock Option (Right to Buy) 11.63 2020-01-31 4 A 0 481 A 2020-01-31 2023-07-03 Common Shares 481 481 D Stock Option (Right to Buy) 10.29 2020-01-31 4 A 0 546 A 2020-01-31 2023-10-03 Common Shares 546 546 D Stock Option (Right to Buy) 9.48 2020-01-31 4 A 0 666 A 2020-01-31 2024-01-02 Common Shares 666 666 D Stock Option (Right to Buy) 10.80 2020-01-31 4 A 0 679 A 2020-01-31 2024-04-03 Common Shares 679 679 D Stock Option (Right to Buy) 11.31 2020-01-31 4 A 0 676 A 2020-01-31 2024-04-03 Common Shares 676 676 D Stock Option (Right to Buy) 12.76 2020-01-31 4 A 0 624 A 2020-01-31 2024-10-02 Common Shares 624 624 D Stock Option (Right to Buy) 14.41 2020-01-31 4 A 0 814 A 2020-01-31 2025-01-08 Common Shares 814 814 D Stock Option (Right to Buy) 14.86 2020-01-31 4 A 0 805 A 2020-01-31 2025-04-02 Common Shares 805 805 D Stock Option (Right to Buy) 14.51 2020-01-31 4 A 0 839 A 2020-01-31 2025-07-02 Common Shares 839 839 D Pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated September 9, 2019, by and between First Defiance Financial Corp. (the "Issuer") and United Community Financial Corp. ("UCFC"), UCFC was merged into the Issuer on January 31, 2020 (the "Merger"), and each share of common stock of UCFC, having a market value of $10.93 on the effective date of the Merger, held by the reporting person was converted into the right to receive .3715 shares of common stock of the Issuer, having a market value of $29.39 on the effective date of the Merger, plus cash in lieu of any fractional Pursuant to the Merger Agreement, at the effective time of the Merger, each option to purchase shares of common stock of UCFC ("UCFC Option") fully vested and was converted into an option to purchase .3715 shares of common stock of the Issuer, having a market value of $29.39 on the effective date of the Merger, at an exercise price equal to the exercise price of the UCFC Option divided by .3715. /s/ Richard J. Schiraldi by Jude J. Nohra, P.O.A 2020-02-04