Statement of Changes in Beneficial Ownership (4)

Date : 11/14/2019 @ 3:59PM
Source : Edgar (US Regulatory)
Stock : Midland States Bancorp Inc (MSBI)
Quote : 28.4  0.0 (0.00%) @ 12:00AM

Statement of Changes in Beneficial Ownership (4)

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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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Mefford Jeffrey S.
2. Issuer Name and Ticker or Trading Symbol

Midland States Bancorp, Inc. [ MSBI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President / Midland States Bank
(Last)          (First)          (Middle)

1201 NETWORK CENTRE DR.
3. Date of Earliest Transaction (MM/DD/YYYY)

11/13/2019
(Street)

EFFINGHAM, IL 62401
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/13/2019  F  365 D$28.02 45879.6750 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Option (right to buy) $18.16            (1)12/6/2020 Common Stock 9520  9520 D  
Option (right to buy) $16            (2)12/13/2022 Common Stock 5500  5500 D  
Option (right to buy) $23            (3)11/3/2025 Common Stock 10702  10702 D  
Option (right to buy) $16.59            (4)12/10/2023 Common Stock 6661  6661 D  
Option (right to buy) $21            (5)12/2/2024 Common Stock 7885  7885 D  
Option (right to buy) $15.20            (6)12/31/2019 Common Stock 7500  7500 D  
Option (right to buy) $14.75            (7)12/16/2021 Common Stock 5559  5559 D  
Option (right to buy) $18            (8)8/5/2024 Common Stock 10000  10000 D  
Option (right to buy) $28.59            (9)11/16/2026 Common Stock 5341  5341 D  

Explanation of Responses:
(1) These options vest in four equal annual installments beginning one year after the 12/06/2010 date of grant.
(2) These options vest in four equal annual installments beginning one year after the 12/13/2012 date of grant.
(3) These options vest in four equal annual installments beginning one year after the 11/03/2015 date of grant.
(4) These options vest in four equal annual installments beginning one year after the 12/10/2013 date of grant.
(5) These options vest in four equal annual installments beginning one year after the 12/02/2014 date of grant.
(6) These options vest in four equal annual installments beginning one year after the 12/31/2009 date of grant.
(7) These options vest in four equal annual installments beginning one year after the 12/16/2011 date of grant.
(8) Options vested on 12/31/2017.
(9) These options vest in four equal annual installments beginning one year after the 11/16/2016 date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Mefford Jeffrey S.
1201 NETWORK CENTRE DR.
EFFINGHAM, IL 62401


PresidentMidland States Bank

Signatures
/s/ Mefford Jeffrey S11/14/2019
**Signature of Reporting PersonDate

/s/ Douglas J. Tucker, attorney-in-fact11/14/2019
**Signature of Reporting PersonDate

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