Statement of Changes in Beneficial Ownership (4)
November 03 2021 - 4:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Rogers Randall D. |
2. Issuer Name and Ticker or Trading Symbol
Merchants Bancorp
[
MBIN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice Chairman |
(Last)
(First)
(Middle)
410 MONON BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2021 |
(Street)
CARMEL, IN 46032
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/1/2021 | | S | | 7790.00 | D | $45.72 | 106557.00 | I | Spouse is Trustee of The Randall D. Rogers and Mary Holliday Rogers CRUT |
Common Stock | 11/2/2021 | | S | | 9743.00 | D | $45.99 (1) | 98767.00 | I | Spouse is Trustee of The Randall D. Rogers and Mary Holliday Rogers CRUT |
Common Stock | 11/3/2021 | | S | | 15000.00 | D | $47.13 (2) | 83767.00 | I | Spouse is Trustee of The Randall D. Rogers and Mary Holliday Rogers CRUT |
Common Stock | 2/3/2021 | | A |
V
| 96.1668 | A | $0.00 | 96.1668 | I | By ESOP |
Common Stock | | | | | | | | 430486.00 | D | |
Common Stock | | | | | | | | 582000.00 | I | Spouse is Trustee of the Carey Rogers Kulongoski Irrevocable GST Trust 2010 |
Common Stock | | | | | | | | 582000.00 | I | Spouse is Trustee of the Katherine H. Rogers Irrevocable GST Trust 2011 |
Common Stock | | | | | | | | 582000.00 | I | Spouse is Trustee of the Randall D. Rogers, Jr. Irrevocable GST Trust 2011 |
Series C Depositary Shares | | | | | | | | 200000.00 | D | |
Series C Depositary Shares | | | | | | | | 22000.00 | I | Spouse is Trustee of The Mary Holliday Rogers 2019 CRAT |
Series C Depositary Shares | | | | | | | | 20000.00 | I | Spouse is Trustee of The Mary Holliday Rogers Trust |
Series C Depositary Shares | | | | | | | | 26000.00 | I | Spouse is Trustee of The Randall D. Rogers and Mary Holliday Rogers CRUT |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.70 to $46.50 per share, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
(2) | The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.40 per share, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rogers Randall D. 410 MONON BOULEVARD CARMEL, IN 46032 | X |
| Vice Chairman |
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Signatures
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/s/ Terry A. Oznick, attorney-in-fact | | 11/3/2021 |
**Signature of Reporting Person | Date |
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