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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.