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WHLR
Sign in to followWheeler Real Estate Investment Trust, Inc.
Export transactions ↓Last 12 months
Inside the activity.
7 purchase rows · 17 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 4 |
| Apr 2026 | 0 | 10 |
| May 2026 | 0 | 0 |
| Jun 2026 | 1 | 0 |
| Jul 2026 | 4 | 1 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 2 | 2 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 06, 2021 Filed May 7, 2021 22:01 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 12 | $18.25 | $219.00 |
DisclosureSEC source: 0001213900-21-025216 · ownership.xml · derivative · entry 10 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,681 Underlying: Series D Cumulative Convertible Preferred Stock · 12 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 06, 2021 Filed May 7, 2021 22:01 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 83 | $18.25 | $1,514.75 |
DisclosureSEC source: 0001213900-21-025216 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,532 Underlying: Series D Cumulative Convertible Preferred Stock · 83 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 05, 2021 Filed May 7, 2021 22:01 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 113 | $18.25 | $2,062.25 |
DisclosureSEC source: 0001213900-21-025216 · ownership.xml · derivative · entry 11 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,104 Underlying: Series D Cumulative Convertible Preferred Stock · 113 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 05, 2021 Filed May 7, 2021 22:01 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 276 | $18.25 | $5,037.00 |
DisclosureSEC source: 0001213900-21-025216 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,693 Underlying: Series D Cumulative Convertible Preferred Stock · 276 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 05, 2021 Filed May 7, 2021 22:01 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 1,911 | $18.25 | $34,875.75 |
DisclosureSEC source: 0001213900-21-025216 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,615 Underlying: Series D Cumulative Convertible Preferred Stock · 1,911 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 04, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 205 | $18.25 | $3,741.25 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 12 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,216 Underlying: Series D Cumulative Convertible Preferred Stock · 205 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 04, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 499 | $18.25 | $9,106.75 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 10 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,968 Underlying: Series D Cumulative Convertible Preferred Stock · 499 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 04, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 3,452 | $18.25 | $62,999.00 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 20,528 Underlying: Series D Cumulative Convertible Preferred Stock · 3,452 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 03, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 7 | $18.25 | $127.75 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 11 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,421 Underlying: Series D Cumulative Convertible Preferred Stock · 7 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 03, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 18 | $18.25 | $328.50 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,467 Underlying: Series D Cumulative Convertible Preferred Stock · 18 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| May 03, 2021 Filed May 5, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 124 | $18.25 | $2,263.00 |
DisclosureSEC source: 0001213900-21-024685 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 23,980 Underlying: Series D Cumulative Convertible Preferred Stock · 124 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 29, 2021 Filed May 3, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 8 | $18.25 | $146.00 |
DisclosureSEC source: 0001213900-21-024230 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,428 Underlying: Series D Cumulative Convertible Preferred Stock · 8 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 29, 2021 Filed May 3, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 20 | $18.25 | $365.00 |
DisclosureSEC source: 0001213900-21-024230 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,485 Underlying: Series D Cumulative Convertible Preferred Stock · 20 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 29, 2021 Filed May 3, 2021 20:05 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 140 | $18.25 | $2,555.00 |
DisclosureSEC source: 0001213900-21-024230 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,104 Underlying: Series D Cumulative Convertible Preferred Stock · 140 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 23, 2021 Filed Apr 27, 2021 20:43 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 277 | $18.25 | $5,055.25 |
DisclosureSEC source: 0001213900-21-023107 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,436 Underlying: Series D Cumulative Convertible Preferred Stock · 277 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 23, 2021 Filed Apr 27, 2021 20:43 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 675 | $18.25 | $12,318.75 |
DisclosureSEC source: 0001213900-21-023107 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,505 Underlying: Series D Cumulative Convertible Preferred Stock · 675 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 23, 2021 Filed Apr 27, 2021 20:43 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 4,685 | $18.25 | $85,501.25 |
DisclosureSEC source: 0001213900-21-023107 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,244 Underlying: Series D Cumulative Convertible Preferred Stock · 4,685 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 19, 2021 Filed Apr 21, 2021 20:47 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 367 | $18.25 | $6,697.75 |
DisclosureSEC source: 0001213900-21-022458 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,713 Underlying: Series D Cumulative Convertible Preferred Stock · 367 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 19, 2021 Filed Apr 21, 2021 20:47 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 895 | $18.25 | $16,333.75 |
DisclosureSEC source: 0001213900-21-022458 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,180 Underlying: Series D Cumulative Convertible Preferred Stock · 895 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 19, 2021 Filed Apr 21, 2021 20:47 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 6,210 | $18.25 | $113,332.50 |
DisclosureSEC source: 0001213900-21-022458 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 28,929 Underlying: Series D Cumulative Convertible Preferred Stock · 6,210 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 20:14 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 690 | $18.25 | $12,592.50 |
DisclosureSEC source: 0001213900-21-022090 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,080 Underlying: Series D Cumulative Convertible Preferred Stock · 690 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 20:14 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 1,684 | $18.25 | $30,733.00 |
DisclosureSEC source: 0001213900-21-022090 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,075 Underlying: Series D Cumulative Convertible Preferred Stock · 1,684 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 20:14 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 11,680 | $18.25 | $213,160.00 |
DisclosureSEC source: 0001213900-21-022090 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 35,139 Underlying: Series D Cumulative Convertible Preferred Stock · 11,680 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 07, 2021 Filed Apr 9, 2021 20:10 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 55 | $18.25 | $1,003.75 |
DisclosureSEC source: 0001213900-21-021022 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,770 Underlying: Series D Cumulative Convertible Preferred Stock · 55 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 07, 2021 Filed Apr 9, 2021 20:10 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 135 | $18.25 | $2,463.75 |
DisclosureSEC source: 0001213900-21-021022 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,759 Underlying: Series D Cumulative Convertible Preferred Stock · 135 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 07, 2021 Filed Apr 9, 2021 20:10 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 938 | $18.25 | $17,118.50 |
DisclosureSEC source: 0001213900-21-021022 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 46,819 Underlying: Series D Cumulative Convertible Preferred Stock · 938 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 06, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 5,634 | $18.25 | $102,820.50 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 12 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,825 Underlying: Series D Cumulative Convertible Preferred Stock · 5,634 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 06, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 13,746 | $18.25 | $250,864.50 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 10 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,894 Underlying: Series D Cumulative Convertible Preferred Stock · 13,746 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 06, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 95,361 | $18.25 | $1,740,338.25 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 47,757 Underlying: Series D Cumulative Convertible Preferred Stock · 95,361 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 8,526 | $18.25 | $155,599.50 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 11 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,459 Underlying: Series D Cumulative Convertible Preferred Stock · 8,526 shares Expires 2022-03-01 F8 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 20,803 | $18.25 | $379,654.75 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 20,640 Underlying: Series D Cumulative Convertible Preferred Stock · 20,803 shares Expires 2022-03-01 F7 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F7 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2021 Filed Apr 7, 2021 20:46 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 144,317 | $18.25 | $2,633,785.25 |
DisclosureSEC source: 0001213900-21-020661 · ownership.xml · derivative · entry 7 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 143,118 Underlying: Series D Cumulative Convertible Preferred Stock · 144,317 shares Expires 2022-03-01 F5 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F9 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F6 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F5 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Convertible Preferred Stock (the "Series B Stock") and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 1,164 | $18.25 | $21,243.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 16 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 16,985 Underlying: Series D Cumulative Convertible Preferred Stock · 1,164 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 2,839 | $18.25 | $51,811.75 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 13 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 41,443 Underlying: Series D Cumulative Convertible Preferred Stock · 2,839 shares Expires 2022-03-01 F8 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 19,696 | $18.25 | $359,452.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 10 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 287,435 Underlying: Series D Cumulative Convertible Preferred Stock · 19,696 shares Expires 2022-03-01 F6 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F6 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 16:10 UTC |
Jones Andrew RDirector
|
SaleSeries D Cumulative Convertible Preferred Stock · Derivative | 1,200 | $18.25 Strike: $16.96 | $21,900.00 |
DisclosureSEC source: 0001213900-21-019635 · ownership.xml · derivative · entry 4 Jones Andrew R · CIK 0001392977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in managed funds Disclosed balance after: 20,400 Underlying: Common Stock · 1,768 shares Expires not disclosed F5 · derivative.exercise_date: Each share of Series D Cumulative Convertible Preferred Stock (the "Series D Stock") is convertible into shares of the Company's common stock at $16.96 per share and one share of Series D Stock is convertible into 1.474 shares of Company common stock. The Series D Stock has no expiration date. F5 · derivative.expiration_date: Each share of Series D Cumulative Convertible Preferred Stock (the "Series D Stock") is convertible into shares of the Company's common stock at $16.96 per share and one share of Series D Stock is convertible into 1.474 shares of Company common stock. The Series D Stock has no expiration date. F3 · ownership.nature: These shares are held by various investment partnerships, funds and managed accounts, in which NS Advisors, LLC ("NS Advisors") serves as the investment manager. Mr. Jones is the managing member of NS Advisors and has sole voting and investment authority over the shares. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 16:10 UTC |
Jones Andrew RDirector
|
SaleCommon Stock | 34,441 | $3.51 | $120,887.91 |
DisclosureSEC source: 0001213900-21-019635 · ownership.xml · nonDerivative · entry 2 Jones Andrew R · CIK 0001392977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in transactions at prices ranging from $3.50 to $3.52, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 544 | $18.25 | $9,928.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 15 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,149 Underlying: Series D Cumulative Convertible Preferred Stock · 544 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 45,224 | $11.00 | $497,464.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 14 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Series B Convertible Preferred Stock · 45,224 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 1,327 | $18.25 | $24,217.75 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 12 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 44,282 Underlying: Series D Cumulative Convertible Preferred Stock · 1,327 shares Expires 2022-03-01 F8 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 2,074 | $11.00 | $22,814.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 11 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Series B Convertible Preferred Stock · 2,074 shares Expires 2022-03-01 F8 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 9,209 | $18.25 | $168,064.25 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 9 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 307,131 Underlying: Series D Cumulative Convertible Preferred Stock · 9,209 shares Expires 2022-03-01 F6 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F6 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 17,144 | $11.00 | $188,584.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 8 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Series B Convertible Preferred Stock · 17,144 shares Expires 2022-03-01 F6 · derivative.exercise_price: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F10 · date: This transaction was effected pursuant to a Rule 10b-5 plan adopted by the Reporting Persons. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F6 · ownership.nature: SAI entered into a certain cash-settled total return swap agreement, effective as of January 22, 2019 (the "Swap Agreement"), pursuant to which it purchased certain cash-settled swaps (the "Swaps") constituting economic exposure to notional shares of Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.10 to $11.12, and the price of the Swaps for the Series D Stock ranged from $13.75 to $15.85. The Swap Agreement provides SAI with economic results that are comparable to the economic results of ownership, but does not provide SAI with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 20:54 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleSeries B Convertible Preferred Stock · Derivative | 8,200 | $11.00 Strike: $40.00 | $90,200.00 |
DisclosureSEC source: 0001213900-21-019972 · ownership.xml · derivative · entry 4 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 5,125 shares Expires not disclosed F4 · derivative.exercise_date: As disclosed in Wheeler Real Estate Investment Trust, Inc.'s (the "Company") Form 8-K filed with the Securities and Exchange Commission ("SEC") on April 3, 2017, each share of Series B Convertible Preferred Stock (the "Series B Stock") is convertible into 0.625 shares of the Company's common stock. The Series B Stock has no expiration date. F4 · derivative.expiration_date: As disclosed in Wheeler Real Estate Investment Trust, Inc.'s (the "Company") Form 8-K filed with the Securities and Exchange Commission ("SEC") on April 3, 2017, each share of Series B Convertible Preferred Stock (the "Series B Stock") is convertible into 0.625 shares of the Company's common stock. The Series B Stock has no expiration date. F3 · ownership.nature: These shares are owned directly by Stilwell Value Partners VII, L.P. ("SVP VII") and indirectly by Joseph Stilwell in his capacity as the managing member and owner of Value, which is the general partner of SVP VII. Joseph Stilwell disclaims beneficial ownership of all shares reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 1,429 | $18.00 | $25,722.00 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 18 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,693 Underlying: Series D Cumulative Convertible Preferred Stock · 1,429 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 565 | $11.00 | $6,215.00 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 17 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,224 Underlying: Series B Convertible Preferred Stock · 565 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 15 | $11.10 | $166.50 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 16 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,789 Underlying: Series B Convertible Preferred Stock · 15 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 10,000 | $11.14 | $111,400.00 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 15 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,804 Underlying: Series B Convertible Preferred Stock · 10,000 shares Expires 2022-03-01 F9 · derivative.exercise_price: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F9 · ownership.nature: SVP VII entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Second Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock ranged from $11.73 to $12.88, and the price of the Swaps for the Series D Stock ranged from $14.50 to $15.50. The Second Additional Swap Agreement provides SVP VII with economic results that are comparable to the economic results of ownership, but does not provide SVP VII with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Second Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 2,970 | $18.00 | $53,460.00 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 14 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,609 Underlying: Series D Cumulative Convertible Preferred Stock · 2,970 shares Expires 2022-03-01 F8 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| March 30, 2021 Filed Mar 31, 2021 21:17 UTC |
Stilwell JosephDirector · 10% owner
Stilwell Value LLC10% owner
Stilwell Activist Investments, L.P.10% owner
Stilwell Activist Fund, L.P.10% owner
Stilwell Value Partners VII, L.P.10% owner
|
SaleCash-settled Total Return Swap (obligation to buy) · Derivative | 485 | $11.10 | $5,383.50 |
DisclosureSEC source: 0001213900-21-019340 · ownership.xml · derivative · entry 12 STILWELL JOSEPH · CIK 0001113303 · Director · 10% owner Stilwell Value LLC · CIK 0001397076 · 10% owner Stilwell Activist Investments, L.P. · CIK 0001573720 · 10% owner Stilwell Activist Fund, L.P. · CIK 0001564452 · 10% owner Stilwell Value Partners VII, L.P. · CIK 0001555931 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,074 Underlying: Series B Convertible Preferred Stock · 485 shares Expires 2022-03-01 F8 · derivative.exercise_price: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. F7 · derivative.exercise_date: These Swaps can be settled at any time prior to the expiration date. F8 · ownership.nature: SAF entered into a certain cash-settled total return swap agreement, effective as of May 20, 2019 (the "Additional Swap Agreement"), pursuant to which it purchased Swaps constituting economic exposure to notional shares of the Company's Series B Stock and Series D Stock with maturity dates of March 1, 2022. The price of the Swaps for the Series B Stock was $11.10, and the price of the Swaps for the Series D Stock ranged from $14.75 to $15.85. The Additional Swap Agreement provides SAF with economic results that are comparable to the economic results of ownership, but does not provide SAF with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Series B Stock and Series D Stock. Joseph Stilwell disclaims beneficial ownership of all shares underlying the Additional Swap Agreement reported as owned indirectly except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.