SEC Form 4 · accession 0001412665-16-000124
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, 2016
Accepted (ET)
Feb 16, 2016 · 5:07 pm 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, 2016 | A | 5,000 | $0.00 | A | 90,379 | D | |
| Common StockF2 | 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)F3 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 4,500 | 4,500 | 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, 2017.
- F2Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of February 15, 2016.
- F3The option vests in four equal annual installments beginning on April 1, 2009.