Filing Details

Accession Number:
0001593968-16-001271
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-05 17:21:44
Reporting Period:
2016-12-02
Filing Date:
2016-12-05
Accepted Time:
2016-12-05 17:21:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1466026 Midland States Bancorp Inc. MSBI State Commercial Banks (6022) 371233196
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1672607 D Thomas Shaw 1201 Network Centre Dr.
Effingham IL 62401
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-12-02 3,040 $32.86 11,658 No 4 P Indirect Thomas D. Shaw A&R Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Thomas D. Shaw A&R Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Common Share Equivalent $0.00 20,106 20,106 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
20,106 20,106 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $32.85 - $32.86 inclusive. The reporting person undertakes to provide to Midland States Bancorp, Inc., any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in footnote 1 to this form.
  2. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose
  3. Prior Section 16 reports for the reporting person incorrectly included indirect holdings under two separate trusts. In fact, these two previously identified trusts are the same trust. The full name of the trust is the Thomas D. Shaw Trust, originally dated 10/27/72, as amended and restated 3/25/14. All shares of the issuer held by this trust are correctly represented on this Form 4.
  4. Represents common share equivalents acquired by the reporting person under the Directors Deferred Compensation Plan (DDCP) of the Issuer with respect to directors fees deferred by the reporting person during the quarter, based upon the closing price of the underlying shares on the last day of the quarter. Each common share equivalent is the economic equivalent of one share of common stock. Common share equivalents received for deferred director fees are fully vested on the transaction date listed above.
  5. Common share equivalents become payable upon termination of service as a director except for any unvested portion of the Issuer matching contribution.