Statement of Changes in Beneficial Ownership (4)
November 18 2019 - 10:49AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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)
11/16/2019 |
(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 | 11/16/2019 | | F | | 166 | D | $28.05 | 45713.6750 | 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 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 |
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 |
Director | 10% Owner | Officer | Other |
Mefford Jeffrey S. 1201 NETWORK CENTRE DR. EFFINGHAM, IL 62401 |
|
| President | Midland States Bank |
Signatures
|
/s/ Mefford Jeffrey S | | 11/18/2019 |
**Signature of Reporting Person | Date |
/s/ Douglas J. Tucker, attorney-in-fact | | 11/18/2019 |
**Signature of Reporting Person | Date |
Midland States Bancorp (NASDAQ:MSBI)
Historical Stock Chart
From Aug 2024 to Sep 2024
Midland States Bancorp (NASDAQ:MSBI)
Historical Stock Chart
From Sep 2023 to Sep 2024