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MIDDLEFIELD BANC CORP — Director's Dealing 2021
Jan 6, 2021
33530_dirs_2021-01-06_630b2fa0-98aa-4757-b83f-996d26594f36.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: 2021-01-04
Reporting Person: CALDWELL THOMAS G (Director, President/Chief Executive Offi)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-04 | Common Stock | A | 346 | $22.50 | Acquired | 12298 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 522.75 | Indirect |
| Common Stock | 33527.69 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $8.775 | 2021-05-09 | Common Stock (5000) | 5000 | Direct |
| Conditional Stock Award | $24.10 | 2021-05-22 | Common Stock (4480) | 4480 | Direct |
| Conditional Stock Award | $21.215 | 2022-03-01 | Common Stock (5396) | 5396 | Direct |
| Conditional Stock Award | $26.09 | 2023-02-25 | Common Stock (4387) | 4387 | Direct |
Footnotes
F1: Shares acquired under Director Compensation program for members of the Board of Directors of The Middlefield Banking Company.
F2: Includes shares acquired under the MBCN Dividend Reinvestment Plan.
F3: Includes shares held jointly with spouse.
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 May 29, 2018.
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 March 5, 2019.
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 February 26, 2020.