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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 8.3 | 07/18/2008 | A | 31,080 | (4) | 12/13/2008 | Common Stock | 31,080 | $ 0 | 31,080 | D | ||||
Stock Option (Right to Buy) | $ 8.22 | 07/18/2008 | A | 59,570 | (5) | 11/19/2012 | Common Stock | 59,570 | $ 0 | 59,570 | D | ||||
Stock Option (Right to Buy) | $ 9.85 | 07/18/2008 | A | 85,470 | (6) | 09/30/2015 | Common Stock | 85,470 | $ 0 | 85,470 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VIATER CHARLES J 121 S CHURCH ST MISHAWAKA, IN 46544 |
X | Sr. Vice President |
/s/ Rosalie A. Petro, POA | 09/29/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Amended to reflect actual number of shares received in exchange for shares of MFB Corp. stock in the Merger. Filing made on July 18, 2008 contained an estimate of shares to be received. |
(2) | Received in exchange for 96,824.351 shares of the common stock of MFB Corp. ("MFB") in connection with the merger (the "Merger") of MFB with MutualFirst Financial, Inc. ("MutualFirst"). Such Merger was effective on July 18, 2008. |
(3) | Received in exchange for 14,261 shares of the common stock of MFB in connection with the Merger. Such Merger was effective on July 18, 2008. |
(4) | Received in the Merger in exchange for an option to purchase 12,000 shares of MFB common stock at an exercise price of $21.50. |
(5) | Received in the Merger in exchange for an option to purchase 23,000 shares of MFB common stock at an exercise price of $21.30. |
(6) | Received in the Merger in exchange for an option to purchase 33,000 shares of MFB common stock at an exercise price of $25.50. |