Filing Details
- Accession Number:
- 0001209191-10-043920
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-25 17:03:13
- Reporting Period:
- 2010-08-25
- Filing Date:
- 2010-08-25
- Accepted Time:
- 2010-08-25 17:03:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1313918 | Deerfield Capital Corp. | DFR | Finance Services (6199) | 202008622 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1017974 | I Stuart Oran | 6250 North River Road Rosemont IL 60018 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2010-08-25 | 405 | $5.32 | 0 | No | 4 | S | Indirect | as Trustee |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | as Trustee |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,050 | Indirect | as Trustee |
Common Stock | 368 | Indirect | as Trustee |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Performance Shares | $0.00 | 2012-05-19 | 2012-05-19 | 12,019 | 12,019 | Direct |
Common Stock | Performance Shares | $0.00 | 2013-06-16 | 2013-06-16 | 11,111 | 11,111 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2012-05-19 | 12,019 | 12,019 | Direct |
2013-06-16 | 11,111 | 11,111 | Direct |
Footnotes
- Mr. Oran disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- Held by the Stanley R. Becker Declaration of Trust. Mr. Oran is one of four trustees of the Stanley R. Becker Declaration of Trust and the beneficiaries include Mr. Oran's spouse and children.
- Held by Roxbury Capital Group LLC Incentive Savings Plan. Mr. Oran is the sole trustee and beneficiary of Roxbury Capital Group LLC Incentive Savings Plan.
- Held by Roxbury Capital Group LLC Defined Benefit Plan. Mr. Oran is the sole trustee and beneficiary of the Roxbury Capital Group LLC Defined Benefit Plan.
- Performance Shares are awards that are issued pursuant to the Issuer's First Amended and Restated Stock Incentive Plan, as amended, (the "Plan") and that are stated with reference to a specified number of shares of the Issuer's Common Stock, and entitle the holder to receive a cash payment or shares of Common Stock or a combination thereof.
- Each Performance Share awarded to the reporting person represents the right to receive one share of the Issuer's Common Stock on May 19, 2012, subject to acceleration upon a change in control of the Issuer, and to certain adjustments, as specified in the Performance Share Award Agreement.
- Each Performance Share awarded to the Reporting Person represents te right to receive one share of the Issuer's common stock on June 16, 2013, subject to acceleration upon a change in control of the Issuer, and to certain adjustments, as specified in the Performance Share Award Agreement.