SEC Form 4 · accession 0001593968-16-001270
Midland States Bancorp, Inc. · MSBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Randall Stewart
Officer — Chief Risk Officer
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 2016 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001466026
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SockF1 | Dec 2, 2016 | F | 93 | $32.97 | D | 5,844 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F2 | $23.00 | holding | — | — | — | — | Nov 3, 2025 | Common Stock | 9,012 | 9,012 | D |
| Option (right to buy)F3 | $16.00 | holding | — | — | — | — | Dec 13, 2022 | Common Stock | 1,594 | 1,594 | D |
| Option (right to buy)F4 | $16.59 | holding | — | — | — | — | Dec 10, 2023 | Common Stock | 4,123 | 4,123 | D |
| Option (right to buy)F5 | $21.00 | holding | — | — | — | — | Dec 2, 2024 | Common Stock | 5,394 | 5,394 | D |
| Option (right to buy)F6 | $16.00 | holding | — | — | — | — | Sep 5, 2022 | Common Stock | 10,000 | 10,000 | D |
| Option (right to buy)F7 | $28.59 | holding | — | — | — | — | Nov 16, 2026 | Common Stock | 4,532 | 4,532 | D |
Explanation of responses
- F1This amount includes an adjustment to the amount included on the reporting persons last Form 4. That Form 4 did not correctly subtract the 112 shares which were reported as disposed of in connection with the Federal tax withholding for the 11/3/2016 restricted stock vest.
- F2These options vest in four equal annual installments beginning one year after the 11/03/2015 date of grant.
- F3These options vest in four equal annual installments beginning one year after the 12/13/2012 date of grant.
- F4These options vest in four equal annual installments beginning one year after the 12/10/2013 date of grant.
- F5These options vest in four equal annual installments beginning one year after the 12/02/2014 date of grant.
- F6These options vest in four equal annual installments beginning one year after the 09/05/2012 date of grant.
- F7These options vest in four equal annual installments beginning one year after the 11/16/2016 date of grant.