SEC Form 4 · accession 0001412665-16-000150
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
May 11, 2016
Accepted (ET)
May 12, 2016 · 5:41 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 | May 11, 2016 | M | 1,000 | $16.69 | A | 91,379 | D | |
| Common StockF1 | holding | — | — | — | 3,669 | 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 | May 11, 2016 | M | 1,000 | D | — | Apr 1, 2018 | Common Stock | 1,000 | 3,500 | D |
Explanation of responses
- F1Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of May 11, 2016. The number of shares reported has increased by 406 shares since the last previous Form filed due to allocations made to the reporting person's ESOP account.
- F2The option vested in four equal annual installments beginning on April 1, 2009.