SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol PREMIER FINANCIAL CORP [ PFC ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 10/25/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock(5) | (2) | 10/25/2013 | 10/25/2013 | A | 269.654 | (3)(4) | (3)(4) | Common Shares | 269.654 | $0 | 28,174.131 | D | |||
Phantom Stock(5) | (2) | 10/25/2013 | 10/25/2013 | A | 37.98 | (3)(4) | (3)(4) | Common Shares | 37.98 | $0 | 28,212.111 | D | |||
Phantom Stock(5) | (2) | 11/22/2013 | 11/22/2013 | A | 306.354 | (3)(4) | (3)(4) | Common Shares | 306.354 | $0 | 28,518.465 | D | |||
Phantom Stock(5) | (2) | 12/20/2013 | 12/20/2013 | A | 306.008 | (3)(4) | (3)(4) | Common Shares | 306.008 | $0 | 28,824.473 | D | |||
Phantom Stock(5) | (2) | 01/31/2014 | 01/31/2014 | A | 213.842 | (3)(4) | (3)(4) | Common Shares | 213.842 | $0 | 29,038.315 | D | |||
Phantom Stock(5) | (2) | 02/28/2014 | 02/28/2014 | A | 271.052 | (3)(4) | (3)(4) | Common Shares | 271.052 | $0 | 28,748.747(1) | D | |||
Phantom Stock(5) | (2) | 03/28/2014 | 03/28/2014 | A | 236.424 | (3)(4) | (3)(4) | Common Shares | 236.424 | $0 | 29,019.799 | D | |||
Phantom Stock(5) | (2) | 04/25/2014 | 04/25/2014 | A | 316.574 | (3)(4) | (3)(4) | Common Shares | 316.574 | $0 | 29,256.223 | D | |||
Phantom Stock(5) | (2) | 05/23/2014 | 05/23/2014 | A | 236.966 | (3)(4) | (3)(4) | Common Shares | 236.966 | $0 | 29,572.797 | D | |||
Phantom Stock(5) | (2) | 06/20/2014 | 06/20/2014 | A | 158.006 | (3)(4) | (3)(4) | Common Shares | 158.006 | $0 | 29,809.763 | D | |||
Phantom Stock(5) | (2) | 07/18/2014 | 07/18/2014 | A | 201.54 | (3)(4) | (3)(4) | Common Shares | 201.54 | $0 | 29,967.769 | D | |||
Phantom Stock(5) | (2) | 08/29/2014 | 08/29/2014 | A | 247.312 | (3)(4) | (3)(4) | Common Shares | 247.312 | $0 | 30,169.309 | D | |||
Phantom Stock(5) | (2) | 09/26/2014 | 09/26/2014 | A | 166.236 | (3)(4) | (3)(4) | Common Shares | 166.236 | $0 | 30,416.621 | D | |||
Phantom Stock(5) | (2) | 10/24/2014 | 10/24/2014 | A | 190.444 | (3)(4) | (3)(4) | Common Shares | 190.444 | $0 | 30,582.857 | D | |||
Phantom Stock(5) | (2) | 10/31/2014 | 10/31/2014 | A | 32.648 | (3)(4) | (3)(4) | Common Shares | 32.648 | $0 | 30,773.301 | D | |||
Phantom Stock(5) | (2) | 11/21/2014 | 11/21/2014 | A | 216.09 | (3)(4) | (3)(4) | Common Shares | 216.09 | $0 | 30,805.949 | D | |||
Phantom Stock(5) | (2) | 12/19/2014 | 12/19/2014 | A | 182.436 | (3)(4) | (3)(4) | Common Shares | 182.436 | $0 | 31,022.039 | D | |||
Phantom Stock(5) | (2) | 01/30/2015 | 01/30/2015 | A | 224.338 | (3)(4) | (3)(4) | Common Shares | 224.338 | $0 | 31,204.475 | D | |||
Phantom Stock(5) | (2) | 02/27/2015 | 02/27/2015 | A | 322.816 | (3)(4) | (3)(4) | Common Shares | 322.816 | $0 | 31,428.813 | D | |||
Phantom Stock(5) | (2) | 03/27/2015 | 03/27/2015 | A | 222.908 | (3)(4) | (3)(4) | Common Shares | 222.908 | $0 | 31,751.629 | D | |||
Phantom Stock(5) | (2) | 04/24/2015 | 04/24/2015 | A | 212.87 | (3)(4) | (3)(4) | Common Shares | 212.87 | $0 | 31,974.537 | D | |||
Phantom Stock(5) | (2) | 05/22/2015 | 05/22/2015 | A | 216.032 | (3)(4) | (3)(4) | Common Shares | 216.032 | $0 | 32,187.407 | D | |||
Phantom Stock(5) | (2) | 06/19/2015 | 06/19/2015 | A | 160.92 | (3)(4) | (3)(4) | Common Shares | 160.92 | $0 | 32,403.439 | D | |||
Phantom Stock(5) | (2) | 07/31/2015 | 07/31/2015 | A | 188.122 | (3)(4) | (3)(4) | Common Shares | 188.122 | $0 | 32,564.359 | D | |||
Phantom Stock(5) | (2) | 08/28/2015 | 08/28/2015 | A | 182.514 | (3)(4) | (3)(4) | Common Shares | 182.514 | $0 | 32,752.481 | D | |||
Phantom Stock(5) | (2) | 09/25/2015 | 09/25/2015 | A | 159.948 | (3)(4) | (3)(4) | Common Shares | 159.948 | $0 | 32,934.995 | D | |||
Phantom Stock(5) | (2) | 10/23/2015 | 10/23/2015 | A | 198.312 | (3)(4) | (3)(4) | Common Shares | 198.312 | $0 | 33,094.943 | D | |||
Phantom Stock(5) | (2) | 11/20/2015 | 11/20/2015 | A | 207.966 | (3)(4) | (3)(4) | Common Shares | 207.966 | $0 | 33,293.255 | D | |||
Phantom Stock(5) | (2) | 12/18/2015 | 12/18/2015 | A | 177.672 | (3)(4) | (3)(4) | Common Shares | 177.672 | $0 | 33,501.221 | D | |||
Phantom Stock(5) | (2) | 01/29/2016 | 01/29/2016 | A | 164.398 | (3)(4) | (3)(4) | Common Shares | 164.398 | $0 | 33,678.893 | D |
Explanation of Responses: |
1. The ending balance differs from amounts previously reported because of an inadvertent administrative error. |
2. Each share of phantom stock ("Phantom Share") is the economic equivalent of one share of PFC common stock. |
3. The Phantom Shares become payable in common shares, at the election of the reporting person, as follows: (a) Phantom Shares awarded in 2006 and 2011 became payable on January 2, 2020; (b) Phantom Shares awarded in 2007 became payable on January 4, 2021; (c) 90% of the Phantom Shares awarded in 2012 became payable on January 4, 2021, and the remaining 10% will become payable one year after termination as a director; (d) Phantom Shares awarded in 2008 and 2013 become payable on January 1, 2022; (e) Phantom Shares awarded in 2009 and 2010 become payable on January 1, 2023; |
4. (f) Phantom Shares awarded in 2014 and 2015 become payable on January 1, 2024; (g) Phantom Shares awarded in 2016, 2017, 2018, and 2019 become payable on January 1, 2025; and (h) Phantom Shares awarded in 2020 and 2021 become payable one year following termination as a director. In the event the reporting person's services as a director terminate prior to reaching any of the foregoing dates, all remaining Phantom Shares will convert to PFC common stock one year following such termination without regard to such dates. |
5. On July 13, 2018, PFC split its common shares 2-for-1 (the "Stock Split"). The numbers included in this Form 4 have been adjusted to account for the Stock Split. |
/s/ John L. Bookmyer by Shannon M. Kuhl, POA | 08/09/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |