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MIDDLEFIELD BANC CORP — Director's Dealing 2018
Jun 25, 2018
33530_dirs_2018-06-25_ac58329f-ecce-47a3-9ffc-eeeacd298ea9.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: 2018-06-22
Reporting Person: CALDWELL THOMAS G (Director, President/Chief Executive Offi)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-06-22 | Common Stock | A | 1018 | $51.60 | Acquired | 1677 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13522 | Direct |
| Common Stock | 246.13 | Indirect |
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 | $32.40 | 2019-03-01 | Common Stock (865) | 865 | Direct |
| Conditional Stock Award | $38.6992 | 2020-07-20 | Common Stock (753) | 753 | Direct |
| Common Stock Award | $48.20 | 2021-06-22 | Common Stock (2240) | 2240 | Direct |
Footnotes
F1: Shares were acquired under the terms of a Conditional Stock Grant dated June 22, 2015.
F2: Shares held jointly with spouse.
F3: Includes shares acquired under MBCN Dividend Reinvestment Plan.
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 and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated July 20, 2017.
F6: 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 25, 2018.