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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
  1. 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.
  2. (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").
  3. 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.
  4. 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.