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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 Option | $ 11 | 01/27/2014 | 01/27/2019 | Common Stock | 31,875 (2) | 31,875 (2) | D | ||||||||
Stock Option | $ 10.2 | 06/22/2015 | 06/22/2020 | Common Stock | 25,000 (3) | 25,000 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KOLLAR CURTIS R 1233 O.G. SKINNER DRIVE WEST POINT, GA 31833 |
SVP and CFO |
/a/ Curtis R. Kollar | 12/01/2011 | |
**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) | Restricted stock award of 7,500 shares granted to the reporting person on June 22, 2010 under the Charter Financial Corporation 2001 Recognition and Retention Plan. The stock will vest in 20% increments on an annual basis beginning on June 22, 2011. |
(2) | Options granted under the 2001 Charter Financial Corporation Stock Option Plan, which vest in five equal annual installments commencing on January 27, 2014. |
(3) | Options granted under the 2001 Charter Financial Corporation Stock Option Plan, of which 9,800 vest on June 22, 2015 and June 22, 2016, and 5,400 vest on June 22, 2017. |