SEC Form 4 · accession 0000927089-17-000261
MUTUALFIRST FINANCIAL INC · MFSF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Wayne Heeter
Officer — President and CEO · Director
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 12:32 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 | 6,521 | $25.66 | A | 49,951 | D | |
| Common Stock | Jul 31, 2017 | S | 3,569 | $35.00 | D | 46,382 | D | |
| Common Stock | Jul 31, 2017 | S | 2,150 | $36.13 | D | 44,232 | D | |
| Common Stock | Jul 31, 2017 | S | 402 | $35.50 | D | 43,830 | D | |
| Common Stock | Jul 31, 2017 | S | 2 | $35.25 | D | 43,828 | D | |
| Common Stock | Jul 31, 2017 | S | 98 | $35.20 | D | 43,730 | D | |
| Common Stock | Jul 31, 2017 | S | 100 | $35.18 | D | 43,630 | D | |
| Common Stock | Jul 31, 2017 | S | 200 | $35.05 | D | 43,430 | D | |
| Common Stock | Aug 1, 2017 | M | 5,544 | $25.66 | A | 48,974 | D | |
| Common Stock | Aug 1, 2017 | S | 1,904 | $35.001 | D | 47,070 | D | |
| Common Stock | Aug 1, 2017 | S | 68 | $35.00 | D | 47,002 | D | |
| Common Stock | Aug 1, 2017 | S | 3,572 | $34.785 | D | 43,430 | D | |
| Common StockF1 | holding | — | — | — | 13,923 | I | ESOP |
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)F3 | $25.66 | Jul 31, 2017 | M | 6,521 | D | — | Dec 17, 2018 | Common Stock | 6,521 | 12,829 | D |
| Stock Option (Right to Purchase)F3 | $25.66 | Aug 1, 2017 | M | 5,544 | D | — | Dec 17, 2018 | Common Stock | 5,544 | 7,285 | D |
| Stock Option (Right to Purchase)F2 | $7.05 | holding | — | — | — | — | Dec 21, 2026 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.
- F2These stock options were received under the Issuer's 2008 Stock Option and Incentive Plan and became fully exercisable on 12/21/2012.
- F3These stock options became fully exercisable on 12/31/2005.
- F4Shares 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.