SEC Form 4 · accession 0001179110-16-031788
MAINSOURCE FINANCIAL GROUP · MSFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Archie M Brown Jr.
Officer — Chairman, President and CEO · Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 5:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720002
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 15, 2016 | M | 19,420 | $17.92 | A | 67,289 | D | |
| Common Stock | Nov 15, 2016 | F | 14,939 | $29.12 | D | 52,350 | D | |
| Common Stock | Nov 16, 2016 | M | 4,500 | $5.40 | A | 56,850 | D | |
| Common StockF1 | holding | — | — | — | 25,335 | I | By 401-k |
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) | $17.92 | Nov 15, 2016 | M | 19,420 | D | Aug 3, 2012 | Aug 3, 2018 | Common Stock | 19,420 | 5,580 | D |
| Employee Stock Option (Right to Buy)F2 | $5.40 | Nov 16, 2016 | M | 4,500 | D | — | Feb 23, 2019 | Common Stock | 4,500 | 0 | D |
Explanation of responses
- F1Includes 155.184 shares acquired under the Company's 401(k) plan since the date of the reporting persons last ownership report.
- F2The stock option vested as follows: 10% on December 31, 2009, 20% on December 31, 2010, 30% on December 31, 2011 and 40% on December 31, 2012.
Remarks
As authorized by power of attorney