- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2013-10-07 10:11:38
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2013-10-07 10:11:38
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1123735||Community Financial Shares Inc||CFIS||Savings Institution, Federally Chartered (6035)||364387843|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1134119||Clinton Group Inc||601 Lexington Avenue, 51St Floor |
New York NY 10019
|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|
|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|
- 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.