Filing Details
- Accession Number:
- 0000902664-13-003376
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-07 10:11:38
- Reporting Period:
- 2013-09-30
- Filing Date:
- 2013-10-07
- Accepted Time:
- 2013-10-07 10:11:38
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1123735 | Community Financial Shares Inc | CFIS | Savings Institution, Federally Chartered (6035) | 364387843 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1134119 | Clinton Group Inc | 601 Lexington Avenue, 51St Floor New York NY 10019 | 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 | Acquisiton | 2013-09-30 | 315,500 | $1.00 | 1,150,035 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series D Convertible Noncumulative Perpetual Preferred Stock | Acquisiton | 2013-09-30 | 6,607 | $100.00 | 660,700 | $1.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | P | Indirect |
Footnotes
- This number excludes 1,096,365 shares of Common Stock issuable upon the conversion of shares of Series C Preferred Stock held by Clinton and its affiliates due to a 9.9% ownership conversion blocker in the Certificate of Designations for the Series C Preferred Stock.
- (a) 18,713 shares of Series C Preferred Stock (convertible into 834,535 shares of Common Stock (assuming no conversions by Magnolia)) and 44,148 shares of Series D Preferred Stock are directly held by SBAV LP ("SBAV"); and (b) 315,500 shares of Common Stock, 596 shares of Series C Preferred Stock (convertible into 59,600 shares of Common Stock (assuming no conversions by SBAV)) and 7,855 shares of Series D Preferred Stock are directly held by Clinton Magnolia Master Fund, Ltd. ("Magnolia").
- The Series D Preferred Stock reported herein is not convertible by Clinton and its affiliates and is convertible only in connection with certain permitted transfers and has no expiration date.
- This number excludes 5,200,300 shares of Common Stock issuable upon the conversion of shares of Series D Preferred Stock held by Clinton and its affiliates due to a restrictions on conversion contained in the Certificate of Designations for the Series D Preferred Stock.