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MIDDLEFIELD BANC CORP — Director's Dealing 2017
Feb 17, 2017
33530_dirs_2017-02-17_3556bd46-6981-48de-bca6-49ad585a0fc0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MIDDLEFIELD BANC CORP (MBCN)
CIK: 0000836147
Period of Report: 2017-02-13
Reporting Person: CALDWELL THOMAS G (Director, President/Chief Executive Offi)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-13 | Conditional Stock Award | $40.55 | A | 345 | Acquired | 2017-04-17 | Common Stock (345) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14222 | Direct |
| Common Stock | 238.446 | Indirect |
| Common Stock | 115 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock option (right to buy) | $23.00 | 2018-11-10 | Common Stock (1000) | 1000 | Direct |
| Stock option (right to buy) | $23.00 | 2018-11-10 | Common Stock (1500) | 1500 | Direct |
| Stock option (right to buy) | $17.55 | 2021-05-09 | Common Stock (2500) | 2500 | Direct |
| Conditional stock award | $33.61 | 2018-06-22 | Common Stock (814) | 814 | Direct |
| Conditional Stock Award | $32.40 | 2019-03-01 | Common Stock (865) | 865 | Direct |
Footnotes
F1: Includes shares held jointly with spouse.
F2: Includes shares acquired under the MBCN Dividend Reinvestment Plan.
F3: Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated June 24, 2015.
F4: Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated March 4, 2016.
F5: Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition. The details of the vesting conditions may be found in a Form 8-K filing dated February 16, 2017.