UNITED STATES | OMB APPROVAL | ||||||||||
SECURITIES AND EXCHANGE COMMISSION | OMB Number: | 3235-0101 | |||||||||
Expires: | February 28, 2014 | ||||||||||
Washington, D.C. 20549 | Estimated average burden | ||||||||||
hours per response | ............1.00 | ||||||||||
FORM 144 | |||||||||||
SEC USE ONLY | |||||||||||
NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | DOCUMENT SEQUENCE NO. | ||||||||||
ATTENTION: | Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. | CUSIP NUMBER | |||||||||
1 (a) NAME OF ISSUER (Please type or print) | (b) IRS IDENT. NO. | (c) S.E.C FILE NO. | WORK LOCATION | ||||||||
MIDWESTONE FINANCIAL GROUP, INC | 42-1206172 | 000-24630 | |||||||||
1 (d) ADDRESS OF ISSUER | STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE NO. | ||||||
102 SOUTH CLINTON STREET | IOWA CITY | IA | 52240 | AREA CODE | NUMBER | ||||||
(319) | 356-5800 | ||||||||||
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE | (b) RELATIONSHIP TO | (c) ADDRESS STREET | CITY | STATE | ZIP CODE | ||||||
SECURITIES ARE TO BE SOLD | ISSUER | ||||||||||
JAMES G. WAKE | RETIRED DIRECTOR - 4/21/11 | 12925 PINEVIEW DR. | CLIVE | IA | 50325 | ||||||
3 (a) | (b) | SEC USE ONLY | (c) | (d) | (e) | (f) | (g) |
Title of the | Number of Shares | Aggregate | Number of Shares | Approximate | Name of Each | ||
Class of | Name and Address of Each Broker Through Whom the | Broker-Dealer | or Other Units | Market | or Other Units | Date of Sale | Securities |
Securities | Securities are to be Offered or Each Market Maker | File Number | To Be Sold | Value | Outstanding | (See instr. 3(f)) | Exchange |
To Be Sold | who is Acquiring the Securities | (See instr. 3(c)) | (See instr. 3(d)) | (See instr. 3(e)) | (MO. DAY YR.) | (See instr. 3(g)) | |
COMMON | RAYMOND JAMES FINANCIAL, INC. 222 S. RIVERSIDE PLAZA, 7TH FLOOR CHICAGO, IL 60606 | 10,000 | $140,000 (Based on FMV on 6/27/11 @ $14.00) | 8,628,221 | 6/27/2011 | NASDAQ | |
INSTRUCTIONS: | 3. | (a) | Title of the class of securities to be sold | ||
1. | (a) | Name of issuer | (b) | Name and address of each broker through whom the securities are intended to be sold | |
(b) | Issuer's I.R.S. Identification Number | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | ||
(c) | Issuer's S.E.C. file number, if any | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice | ||
(d) | Issuer's address, including zip code | (e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown | ||
(e) | Issuer's telephone number, including area code | by the most recent report or statement published by the issuer | |||
(f) | Approximate date on which the securities are to be sold | ||||
2. | (a) | Name of person for whose account the securities are to be sold | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | |
(b) | Such person's relationship to the issuer (e.g. officer, director, 10% | ||||
stockholder, or member of immediate family of any of the foregoing) | |||||
(c) | Such person's address, including zip code | ||||
Title of | Date you | Name of Person from Whom Acquired | Amount of | Date of | ||
the Class | Acquired | Nature of Acquisition Transaction | (If gift, also give date donor acquired) | Securities Acquired | Payment | Nature of Payment |
COMMON | 2/20/2009 | OPEN MARKET PURCHASE | HOWE BARNES HOEFER & ARNETT, INC. | 10,000 | 2/25/2009 | CASH |
INSTRUCTIONS: | If the securities were purchased and full payment therefor was not made in cash at |
the time of purchase, explain in the table or in a note thereto the nature of the | |
consideration given. If the consideration consisted of any note or other obligation, | |
or if payment was made in installments describe the arrangement and state when | |
the note or other obligation was discharged in full or the last installment paid. | |
Amount of | ||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Securities Sold | Gross Proceeds |
NONE | ||||
REMARKS: | |
INSTRUCTIONS: | ATTENTION: The person for whose account the securities to which this notice relates are to be sold |
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as | hereby represents by signing this notice that he does not know any material adverse information in regard to |
to the person for whose account the securities are to be sold but also as to all other persons included | the current and prospective operations of the Issuer of the securities to be sold which has not been publicly |
in that definition. In addition, information shall be given as to sales by all persons whose sales are | disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule |
required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing | 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the |
this notice. | instruction given, that person makes such representation as of the plan adoption or instruction date. |
June 27, 2011 | /s/ JAMES G. WAKE | |||
DATE OF NOTICE | (SIGNATURE) | |||
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy | ||||
DATE OF PLAN OR GIVING OF INSTRUCTION, | of the notice shall be manually signed.Any copies not manually signed shall bear typed or printed signatures. | |||
IF RELYING ON RULE 10B5-1 | ||||
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) | ||||