SEC Form 4 · accession 0001412665-15-000018
MidWestOne Financial Group, Inc. · MOFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan R Evans
Officer — Chief Operating Officer
Period of report
Apr 2, 2015
Accepted (ET)
Apr 3, 2015 · 7:20 pm EDT
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 Stock | Apr 2, 2015 | M | 500 | $9.34 | A | 15,913 | D | |
| Common StockF1 | holding | — | — | — | 2,665 | 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 | $9.34 | Apr 2, 2015 | M | 500 | D | — | Jan 22, 2019 | Common Stock | 500 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 500 | 500 | D |
| Employee Stock Option (Right to Buy)F4 | $7.02 | holding | — | — | — | — | Jul 16, 2019 | Common Stock | 1,200 | 1,200 | D |
Explanation of responses
- F1Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of April 2, 2015. Shares increased by 342 shares since the date of the reporting person's last filing due to additional shares allocated to the reporting person's ESOP account.
- F2The option vests in four equal annual installments beginning on April 1, 2009.
- F3The option vests in four equal annual installments beginning on January 22, 2010.
- F4The option vests in four equal annual installments beginning on July 16, 2010.