SEC Form 5 · accession 0001412665-16-000112
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
Dec 31, 2015
Accepted (ET)
Jan 19, 2016 · 9:52 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 Stock | Dec 31, 2015 | G | 328 | $0.00 | A | 85,379 | D | |
| Common StockF1 | holding | — | — | — | 3,263 | 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)F2 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 4,500 | 4,500 | D |
Explanation of responses
- F1Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of December 31, 2015. Shares increased by 24 shares since the date of the reporting person's previous Form filing due to additional shares acquired through dividends allocated to the reporting person's account since the last Form filing.
- F2The option vests in four equal annual installments beginning on April 1, 2009.