SEC Form 4 · accession 0001412665-15-000030
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
Apr 27, 2015
Accepted (ET)
Apr 27, 2015 · 2:40 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 27, 2015 | M | 1,500 | $9.34 | A | 83,551 | D | |
| Common StockF1 | holding | — | — | — | 3,239 | 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 27, 2015 | M | 1,500 | D | — | Jan 22, 2019 | Common Stock | 1,500 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of April 24, 2015. The 342 shares increase in the number of shares reflects allocations made to the reporting person's account since the last Form filed February 18, 2015.
- 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.