SEC Form 4/A · accession 0001412665-16-000131
MidWestOne Financial Group, Inc. · MOFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gary John Ortale
Officer — EVP, CFO & Treasurer
Period of report
Feb 15, 2016
Accepted (ET)
Feb 26, 2016 · 4:49 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 | 1,500 | $0.00 | A | 9,762 | D | |
| Common StockF2 | Feb 15, 2016 | F | 541 | $26.45 | D | 9,221 | D | |
| Common StockF3 | holding | — | — | — | 2,580 | I | By ESOP | |
| Common Stock | holding | — | — | — | 10,000 | I | By IRA | |
| Common Stock | holding | — | — | — | 1,500 | I | By Spousal IRA |
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)F4 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 500 | 500 | D |
| Employee Stock Option (Right to Buy)F5 | $9.34 | holding | — | — | — | — | Jan 22, 2019 | Common Stock | 500 | 500 | D |
| Employee Stock Option (Right to Buy)F6 | $7.02 | holding | — | — | — | — | Jul 16, 2019 | Common Stock | 4,800 | 4,800 | 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.
- F2Restricted Stock Units withheld to pay payroll taxes due upon vesting and issuance of Restricted Stock Units shares from February 15, 2012, February 15, 2013, February 15, 2014 and February 15, 2015 awards, issued on February 15, 2016.
- F3Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of February 15, 2016. Shares have increased by 358 shares since the reporting person's last Form filing as a result of allocations made by the company to the reporting person's account.
- F4The option vests in four equal annual installments beginning on April 1, 2009.
- F5The option vests in four equal annual installments beginning on January 22, 2010.
- F6The option vests in four equal annual installments beginning on July 16, 2010.
Remarks
The purpose of this amended Form is to reduce the number of forfeited shares by 22 shares, to 541 shares as now reported.