SEC Form 4 · accession 0001412665-15-000011
MidWestOne Financial Group, Inc. · MOFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles N Funk
Officer — President and CEO · Director
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 10:08 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412665
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 15, 2015 | A | 5,000 | $0.00 | A | 82,051 | D | |
| Common StockF2 | holding | — | — | — | 2,897 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 6,000 | 6,000 | D |
| Employee Stock Option (Right to Buy)F4 | $9.34 | holding | — | — | — | — | Jan 22, 2019 | Common Stock | 1,500 | 1,500 | D |
Explanation of responses
- F1Shares were acquired pursuant to a grant of restricted stock units which vest in four equal annual installments beginning February 15, 2016.
- F2Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of February 15, 2015. Shares increased by 14 shares since the date of the reporting person's last filing due to additional shares allocated to the reporting person's ESOP account.
- F3The option vests in four equal annual installments beginning on April 1, 2009.
- F4The option vests in four equal annual installments beginning on January 22, 2010.