SEC Form 4 · accession 0000927089-17-000260
MUTUALFIRST FINANCIAL INC · MFSF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick C Botts
Officer — President & COO · Director
Period of report
Jul 31, 2017
Accepted (ET)
Aug 1, 2017 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094810
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 31, 2017 | M | 4,698 | $25.66 | A | 27,017 | D | |
| Common Stock | Jul 31, 2017 | S | 1,100 | $35.602 | D | 25,917 | D | |
| Common Stock | Jul 31, 2017 | S | 3,598 | $35.091 | D | 22,319 | D | |
| Common Stock | Aug 1, 2017 | M | 1,161 | $25.66 | A | 23,480 | D | |
| Common Stock | Aug 1, 2017 | S | 1,161 | $35.00 | D | 22,319 | D | |
| Common StockF1 | holding | — | — | — | 12,363 | I | By ESOP | |
| Common Stock | holding | — | — | — | 1,360 | I | By Spouse's IRA | |
| Common Stock | holding | — | — | — | 200 | I | By UTMA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Purchase)F4 | $25.66 | Jul 31, 2017 | M | 4,698 | D | — | Dec 17, 2018 | Common Stock | 4,698 | 1,161 | D |
| Stock Option (Right to Purchase)F4 | $25.66 | Aug 1, 2017 | M | 1,161 | D | — | Dec 17, 2018 | Common Stock | 1,161 | 0 | D |
| Stock Option (Right to Purchase)F2 | $6.93 | holding | — | — | — | — | Dec 31, 2021 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (Right to Purchase)F2 | $7.05 | holding | — | — | — | — | Dec 21, 2025 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to Purchase)F3 | $14.50 | holding | — | — | — | — | Jan 12, 2011 | Common Stock | 7,800 | 7,800 | D |
Explanation of responses
- F1Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.
- F2These options were issued under the Issuer's 2000 Stock Option and Incentive Plan and became exercisable on 12/21/2012.
- F3These options became fully exercisable on 11/12/2005.
- F4These options became fully exercisable on 12/31/2005.
- F5Shares were sold pursuant to a 10b5-1 Stock Trading Plan entered into by the reporting person which was announced by the Company in a Current Report on Form 8-K filed with the SEC on June 23, 2017.