Statement of Changes in Beneficial Ownership (4)
04 6월 2014 - 12:28AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
STONE SAMUEL G
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2. Issuer Name
and
Ticker or Trading Symbol
FIRSTBANK CORP
[
FBMI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP & Chief Financial Officer
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(Last)
(First)
(Middle)
311 WOODWORTH AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2014
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(Street)
ALMA, MI 48801
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/1/2014
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J
(1)
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3745
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D
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(1)
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0
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I
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by Trust
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Common Stock
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6/1/2014
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J
(1)
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28942.293
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D
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(1)
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0
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I
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by 401K
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Common Stock
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6/1/2014
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J
(2)
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2000
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D
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(2)
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$24.4639
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6/1/2014
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J
(3)
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1447.03
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11/22/2009
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11/22/2014
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Common Stock
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1447.03
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(3)
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0
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D
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Stock Option
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$22.8662
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6/1/2014
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J
(3)
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1378.13
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11/28/2010
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11/28/2015
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Common Stock
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1378.13
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(3)
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0
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D
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Stock Option
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$22
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6/1/2014
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J
(3)
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1312.50
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11/27/2011
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11/27/2016
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Common Stock
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1312.50
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(3)
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0
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D
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Stock Option
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$16
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6/1/2014
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J
(3)
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4500
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12/3/2012
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12/3/2017
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Common Stock
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4500
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(3)
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0
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D
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Stock Option
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$7.80
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6/1/2014
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J
(3)
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4500
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11/24/2013
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11/24/2018
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Common Stock
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4500
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(3)
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0
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D
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Explanation of Responses:
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(
1)
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(1) On June 1, 2014, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated August 14, 2013, between Firstbank Corporation ("Firstbank") and Mercantile Bank Corporation ("Mercantile"), each share of common stock of Firstbank was converted into the right to receive 1 share of Mercantile common stock.
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(
2)
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(2) On June 1, 2014, pursuant to the Merger Agreement, these shares of restricted common stock of Firstbank accelerated vesting consistent with the Merger Agreement and applicable plan documents and, as with each other share of common stock of Firstbank, each such vested share was converted into the right to receive 1 share of Mercantile common stock.
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(
3)
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(3) On June 1, 2014, pursuant to the Merger Agreement, each Firstbank stock option will be converted into an option to purchase Mercantile common stock per the equity award exchange ratio as referred to in the Merger Agreement.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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STONE SAMUEL G
311 WOODWORTH AVENUE
ALMA, MI 48801
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EVP & Chief Financial Officer
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Signatures
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/s/ Samuel G. Stone
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6/3/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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