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