SEC Form 4 · accession 0001140361-16-069329
MSB FINANCIAL CORP · MSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ferdinand J Rossi
Director
Period of report
Jun 7, 2016
Accepted (ET)
Jun 9, 2016 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001635261
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 8, 2016 | A | 4,331 | $0.00 | A | 4,331 | I | By Equity Incentive Plan |
| Common Stock | holding | — | — | — | 22,778 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $13.04 | Jun 7, 2016 | A | 12,064 | A | Jun 7, 2017 | Jun 6, 2026 | Common Stock | 12,064 | 12,064 | D |
| Stock Options (Right to Buy) | $9.4323 | holding | — | — | — | May 9, 2009 | May 9, 2018 | Common Stock | 21,972 | 21,972 | D |
Explanation of responses
- F1Consists of a grant of restricted stock under the 2016 Equity Incentive Plan (the "Plan") that vests in equal increments on each of the five anniversaries of the date of grant.
- F2The options vest in 20% increments on each of the five anniversaries of the date of grant.