SEC Form 4 · accession 0001179110-16-030207
OLD SECOND BANCORP INC · OSBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Eccher
Officer — CEO · Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 10:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000357173
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Old Second Bancorp, Inc Common StockF3,F4 | Sep 30, 2016 | A | 12 | — | A | 8,901 | I | 401k Savings Plan |
| Old Second Bancorp, Inc Common StockF3,F2 | Sep 30, 2016 | A | 3 | — | A | 1,966 | I | Profit Sharing |
| Old Second Bancorp, Inc. Common StockF1 | holding | — | — | — | 176,462 | D |
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 | $27.75 | holding | — | — | — | Dec 18, 2008 | Dec 18, 2017 | Common Stock | 20,000 | 20,000 | D |
| Employee Stock Option | $29.20 | holding | — | — | — | Dec 19, 2007 | Dec 19, 2016 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1Included in this total are 148 shares held jointly with spouse; 63,910 shares held in a brokerage account; 17,275 shares held in Mr. Eccher's name alone, 129.251 shares are dividend equivalents in the form of restricted stock units and 95,000 shares of restricted stock units in the name of Mr. Eccher.
- F2Of this total, 3 shares were allocated during the third quarter pursuant to the Old Second Bancorp, Inc. Profit Sharing Plan & Trust. This information was provided herein by the Plan Trustee as of 9-30-16.
- F3Does not apply.
- F4Of this total, 12 shares were allocated during the third quarter pursuant to the Old Second's Employee Savings Plan & Trust. This information was provided herein by the Plan Trustee as of 9-30-16.