0001412665-20-000039.txt : 20200416 0001412665-20-000039.hdr.sgml : 20200416 20200416195303 ACCESSION NUMBER: 0001412665-20-000039 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200416 FILED AS OF DATE: 20200416 DATE AS OF CHANGE: 20200416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cantrell James M CENTRAL INDEX KEY: 0001725340 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35968 FILM NUMBER: 20797463 MAIL ADDRESS: STREET 1: 102 S CLINTON STREET, P.O. BOX 1700 CITY: IOWA CITY STATE: IA ZIP: 52244-1700 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MidWestOne Financial Group, Inc. CENTRAL INDEX KEY: 0001412665 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421206172 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 102 SOUTH CLINTON ST. CITY: IOWA CITY STATE: IA ZIP: 52240 BUSINESS PHONE: 319-356-5800 MAIL ADDRESS: STREET 1: 102 SOUTH CLINTON ST. CITY: IOWA CITY STATE: IA ZIP: 52240 FORMER COMPANY: FORMER CONFORMED NAME: ISB Financial Corp. DATE OF NAME CHANGE: 20070918 3 1 wf-form3_158708116472538.xml FORM 3 X0206 3 2020-04-16 0 0001412665 MidWestOne Financial Group, Inc. MOFG 0001725340 Cantrell James M 102 S. CLINTON STREET P.O. BOX 1700 IOWA CITY IA 52244-1700 0 1 0 0 Senior EVP & CIO, Treasurer Common Stock 14044.752 D Common Stock 2878 I By ESOP Common Stock 500 I By IRA Includes 450 restricted stock units from February 15, 2017 award, 1,000 restricted stock units from February 15, 2018 award, 1,500 restricted stock units from February 15, 2019 award and 1,173.752 restricted stock units from February 15, 2020 award. The restricted stock units vest in approximately equal annual installments over their respective vesting periods. Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of April 16, 2020. The reporting person served as Chief Financial Officer, principal financial officer and principal accounting officer, on an interim basis between December 7, 2017, and June 4, 2018, while the Company conducted an executive search for a permanent CFO. The Board of Directors has designated the reporting person as a Section 16 officer in his current position. Kenneth R. Urmie, Corporate Secretary, under Power of Attorney for James M. Cantrell, dated April 16, 2020 2020-04-16 EX-24 2 ex-24.txt POWER OF ATTORNEY FOR JAMES M. CANTRELL MIDWESTONE FINANCIAL GROUP, INC. POWER OF ATTORNEY (SECTIONS 13(d) AND 16(a) MATTERS) Know all by these present the undersigned hereby constitutes and appoints each of Kenneth R. Urmie, John J. Ruppel, and Jeannette L. Hall, signing singly, as the undersigned's true and lawful attorneys-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as a more than five percent (5%) stockholder (if applicable) of MidWestOne Financial Group, Inc. (the "Company"), any Schedule 13D or Schedule 13G and any amendments thereto in accordance with Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") and the rules thereunder; (2) execute for and on behalf of the undersigned, in the undersigned's capacity as a director, officer or stockholder of the Company or a subsidiary of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and the rules thereunder; (3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and any such Schedule 13D or Schedule 13G and any amendments thereto and timely file such form or schedule with the United States Securities and Exchange Commission, the Nasdaq Stock Market, the Company and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power or substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 13(d) or Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 and Schedule 13D or Schedule 13G (including any amendments thereto) with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. For good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the undersigned, to the fullest extent permitted by law: (i) agrees to hold the attorneys-in-fact and the Company harmless from all liability, loss, cost, damage or expense of any nature, including reasonable attorneys' fees and expenses sustained or incurred by the attorneys-in-fact or Company in connection with the performance, or non-performance, of the actions described in paragraphs (1) - (4) above; and (ii) irrevocably releases and waives any and all claims (in law or equity) against the attorneys-in-fact and the Company, and all of their respective heirs, estates, successors and assigns, as the case may be, relating to the performance, or non-performance, of the actions described in paragraphs (1) - (4) above. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the 16th day of April, 2020. /s/ James M. Cantrell Print Name: James M. Cantrell