SEC Form 4 · accession 0001209191-15-081454
MIDDLEFIELD BANC CORP · MBCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald L Stacy
Officer — Treasurer/CFO
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 1:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000836147
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 18, 2015 | M | 1,000 | $23.00 | A | 2,040 | D | |
| Common StockF1 | Nov 18, 2015 | D | 1,000 | $34.00 | D | 1,040 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | in IRA | |
| Common StockF1,F2 | holding | — | — | — | 18 | 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) | $36.73 | holding | — | — | — | Dec 12, 2006 | Dec 12, 2015 | Common Stock | 1,102 | 1,102 | D |
| Stock Option (Right to Buy) | $40.24 | holding | — | — | — | Dec 11, 2007 | Dec 11, 2016 | Common Stock | 525 | 525 | D |
| Stock Option (Right to Buy) | $37.00 | holding | — | — | — | Dec 10, 2008 | Dec 10, 2017 | Common Stock | 750 | 750 | D |
| Stock Option (Right to Buy) | $17.55 | holding | — | — | — | May 9, 2012 | May 9, 2021 | Common Stock | 2,500 | 2,500 | D |
Explanation of responses
- F1Includes shares acquired under MBCN Dividend Reinvestment Plan.
- F2Shares held jointly with son.