0001593968-16-001074.txt : 20161003 0001593968-16-001074.hdr.sgml : 20161003 20161003150235 ACCESSION NUMBER: 0001593968-16-001074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161003 DATE AS OF CHANGE: 20161003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Midland States Bancorp, Inc. CENTRAL INDEX KEY: 0001466026 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 371233196 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1201 NETWORK CENTRE DRIVE CITY: EFFINGHAM STATE: IL ZIP: 62401 BUSINESS PHONE: (217) 342-2141 MAIL ADDRESS: STREET 1: 1201 NETWORK CENTRE DRIVE CITY: EFFINGHAM STATE: IL ZIP: 62401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ludwig Jeffrey G. CENTRAL INDEX KEY: 0001526235 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35272 FILM NUMBER: 161915545 MAIL ADDRESS: STREET 1: MIDLAND STATES BANCORP, INC. STREET 2: 133 WEST JEFFERSON AVENUE CITY: EFFINGHAM STATE: IL ZIP: 62401 4 1 primary_01.xml PRIMARY DOCUMENT X0306 4 2016-09-30 0001466026 Midland States Bancorp, Inc. MSBI 0001526235 Ludwig Jeffrey G. 1201 NETWORK CENTRE DR. EFFINGHAM IL 62401 false true false false EVP & CFO Common Stock 2016-09-30 4 A false 113.8440 19.6 A 147434.6140 D Common Stock 2016-09-30 4 A false 116.2230 25.34 A 147550.8370 D Common Stock 11569 I JQ Properties Option (right to buy) 18.16 2020-12-06 Common Stock 16790 16790 D Option (right to buy) 16 2022-12-13 Common Stock 8075 8075 D Option (right to buy) 23 2025-11-03 Common Stock 16800 16800 D Option (right to buy) 16.59 2023-12-10 Common Stock 9482 9482 D Option (right to buy) 15.20 2019-12-31 Common Stock 15000 15000 D Option (right to buy) 21 2024-12-02 Common Stock 12753 12753 D Option (right to buy) 11.75 2019-06-22 Common Stock 18190 18190 D Option (right to buy) 14.70 2018-05-05 Common Stock 7000 7000 D Option (right to buy) 14.75 2021-12-16 Common Stock 8356 8356 D Option (right to buy) 18 2024-08-05 Common Stock 60000 60000 D Represents shares acquired by the reporting person through contributions to the Employee Stock Purchase Plan of the Issuer (ESPP). for the calendar quarter. Pursuant to the ESPP, the price used for each quarterly purchase is the lower of 90% of the fair market of the Issuers shares on the first day of the calendar quarter or the closing price of the shares on the last day of the quarter. Reflects a corrected number of shares held in the ESPP as of the date of this form. Represents shares acquired by the reporting person in the ESPP pursuant to the reinvestment of dividends received during the quarter on shares held in the ESPP by the reporting person at the time such dividend was paid based upon the closing price of the underlying shares on the last day of the quarter. 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 These options vest in four equal annual installments beginning one year after the 12/06/2010 date of grant. These options vest in four equal annual installments beginning one year after the 12/13/2012 date of grant. These options vest in four equal annual installments beginning one year after the 11/03/2015 date of grant. These options vest in four equal annual installments beginning one year after the 12/10/2013 date of grant. These options vest in four equal annual installments beginning one year after the 12/31/2009 date of grant. These options vest in four equal annual installments beginning one year after the 12/02/2014 date of grant. These options vest in four equal annual installments beginning one year after the 06/22/2009 date of grant. These options vest in four equal annual installments beginning one year after the 05/05/2008 date of grant. These options vest in four equal annual installments beginning one year after the 12/16/2011 date of grant. Such options will vest on 12/31/2017 if specific performance metrics are satisfied, as determined by the Board of Directors. /s/ Douglas J. Tucker, attorney-in-fact 2016-10-03