FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/21/2012 |
3. Issuer Name and Ticker or Trading Symbol
COMMUNITY FINANCIAL SHARES INC [ CFIS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 02/08/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series C Preferred Stock | 12/21/2012 | (1) | Common Stock | 9,262 | (2) | I | By Roth IRA, FCC as Custodian(5) |
Series E Preferred Stock | 12/21/2012 | (3) | Common Stock | 738 | (4) | I | By Roth IRA, FCC as Custodian(5) |
Explanation of Responses: |
1. Each share of the Series C Convertible Noncumulative Perpetual Preferred Stock is convertible into shares of the issuer's common stock at the sole discretion of the holder and has no expiration date. |
2. Each share of Series C Convertible Noncumulative Perpetual Preferred Stock will be convertible, at the sole discretion of the holder of such shares, into a number of shares of the issuer's Common Stock determined by dividing $100.00 by the $1.00 conversion price. |
3. The Series E Convertible Noncumulative Perpetual Preferred Stock has no expiration date. |
4. Each share of Series E Convertible Noncumulative Perpetual Preferred Stock is convertible, at the sole discretion of the holder of such shares, into (i) a number of shares of the issuer's Common Stock determined by dividing $100.00 by the $1.00 conversion price or (ii) one share of Series C Preferred Stock. No conversion of Series E Preferred Stock may result in a holder, together with affiliates, owning or controlling in the aggregate more than a 4.99% voting ownership interest in the Issuer, excluding for the purpose of this calculation any reduction in ownership resulting in transfers by such holder and its affiliates of voting securities of the Issuer (the "Ownership Limitation"). As of the date hereof, as a result of the Ownership Limitation, the shares of Series E Preferred Stock held by the Reporting Person are convertible into 17,885 shares of Common Stock. |
5. This amendment on Form 3/A to the Form 3 originally filed on February 8, 2013 is made solely to change "By Roth IRA" to "By Roth IRA, FCC as Custodian." |
Remarks: |
This amendment on Form 3/A to the Form 3 originally filed on February 8, 2013 is made solely to change the nature of indirect beneficial ownership from "By Roth IRA" to "By Roth IRA, FCC as Custodian" in column 6. |
/s/ Richard Jacinto II | 02/08/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |