Filing Details
- Accession Number:
- 0001225208-11-016239
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-13 13:45:53
- Reporting Period:
- 2011-06-10
- Filing Date:
- 2011-06-13
- Accepted Time:
- 2011-06-13 13:45:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 855874 | Tri County Financial Corp | TCFC.OB | State Commercial Banks (6022) | 521652138 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1166812 | L Michael Middleton | 3035 Leonardtown Road Waldorf MD 20601 | President And Ceo | Yes | Yes | 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 | 2011-06-06 | 500 | $0.00 | 154,976 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2011-06-10 | 100 | $16.80 | 5,025 | No | 4 | P | Indirect | By IRA |
| Common Stock | Acquisiton | 2011-06-10 | 100 | $16.80 | 4,877 | No | 4 | P | Indirect | By Spouse's IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | P | Indirect | By IRA |
| No | 4 | P | Indirect | By Spouse's IRA |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 39,869 | Indirect | By ESOP |
| Common Stock | 69,351 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | $0.00 | 3,739 | 3,739 | Direct | ||
| Common Stock | Restricted Stock Unit II | $0.00 | 3,106 | 3,106 | Direct | ||
| Common Stock | Stock Option (Right to Buy) | $12.74 | 2004-02-04 | 2013-12-31 | 14,286 | 14,286 | Direct |
| Common Stock | Stock Option (Right to Buy) | $27.70 | 2007-07-17 | 2017-07-17 | 5,830 | 5,830 | Direct |
| Common Stock | Stock Option (Right to Buy) | $22.29 | 2005-12-19 | 2015-12-19 | 6,036 | 6,036 | Direct |
| Common Stock | Stock Option (Right to Buy) | $15.89 | 2004-12-27 | 2014-12-27 | 20,164 | 20,164 | Direct |
| Common Stock | Stock Option (Right to Buy) | $11.56 | 2002-12-31 | 2012-12-31 | 6,412 | 6,412 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 3,739 | 3,739 | Direct | |
| 3,106 | 3,106 | Direct | |
| 2013-12-31 | 14,286 | 14,286 | Direct |
| 2017-07-17 | 5,830 | 5,830 | Direct |
| 2015-12-19 | 6,036 | 6,036 | Direct |
| 2014-12-27 | 20,164 | 20,164 | Direct |
| 2012-12-31 | 6,412 | 6,412 | Direct |
Footnotes
- Each Restricted Stock Unit is the economic equivalent of one share of Tri-County Financial Corporation common stock at at price of $12.25 per share.
- On the date when any obligation arising from financial assistance provided to Tri-County Financial Corporation (the "Company") under the U. S. Treasury Troubled Asset Relief Program's Capital Purchase Program is no longer outstanding, which does not include any period during which the federal government only holds warrants to purchase common stock of the Company, reporting person will receive an amount of cash equal to the value of the shares granted.
- Each Restricted Stock Unit is the economic equivalent of one share of Tri-County Financial Corporation common stock at at price of $16.10 per share.
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