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MOFG (MOFG) SVP Susan Moore reports 1,125 RSUs tied to merger vesting

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(Neutral)
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(Neutral)
Form Type
4

Rhea-AI Filing Summary

MidWestOne Financial Group senior vice president and chief risk officer Susan M. Moore reported an equity award and updated share holdings. On January 15, 2026, she acquired 1,125 restricted stock units of common stock at $0 per share as a time-based grant. These units vest on January 15, 2027, or on the legal close date of the merger of MidWestOne Financial Group, Inc. with and into Nicolet Bankshares, Inc., whichever comes first, with Nicolet Bankshares, Inc. as the surviving corporation.

After this award, Moore beneficially owned 11,349.499 shares directly, which include 9.808 dividend equivalents credited in lieu of cash dividends on unvested RSUs. She also held 1,345.938 shares indirectly through the MidWestOne Financial Group, Inc. 401(k) Plan as of December 31, 2025.

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Insider Moore Susan M
Role SVP, Chief Risk Officer
Type Security Shares Price Value
Grant/Award Common Stock 1,125 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 11,349.499 shares (Direct); Common Stock — 1,345.938 shares (Indirect, By 401(k))
Footnotes (1)
  1. Represents restricted stock units acquired pursuant to a grant of time-based restricted stock units which vest on January 15, 2027, or on the legal close date of the merger announced October 23, 2025, of MidWestOne Financial Group, Inc. with and into Nicolet Bankshares, Inc., with Nicolet Bankshares, Inc. as the surviving corporation, whichever comes first. Includes 9.808 Dividend Equivalents credited to unvested time-based RSUs in lieu of a cash dividend payment since the reporting person's last required Form filing. Each whole Dividend Equivalent is the economic equivalent of one share of MidWestOne Financial Group, Inc. common stock. Shares held in the reporting person's account from within the MidWestOne Financial Group, Inc. 401(k) Plan, as of December 31, 2025. Reported shares have increased by 29.394 shares since the date of the reporting person's previous Form filing due to an allocation to her account. The MidWestOne Financial Group, Inc. Employee Stock Ownership Plan (formerly the "ESOP") was merged into the MidWestOne Financial Group, Inc. 401(k) Plan (the "401(k)") on May 7, 2025. Shares from the reporting person's ESOP account were merged into the reporting person's account in the 401(k).
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Moore Susan M
(Last) (First) (Middle)
102 S CLINTON STREET, P.O. BOX 1700
(Street)
IOWA CITY IA 52244-1700
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
MidWestOne Financial Group, Inc. [ MOFG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Chief Risk Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/15/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/15/2026 A(1) 1,125 A $0 11,349.499(2) D
Common Stock 1,345.938(3) I By 401(k)(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents restricted stock units acquired pursuant to a grant of time-based restricted stock units which vest on January 15, 2027, or on the legal close date of the merger announced October 23, 2025, of MidWestOne Financial Group, Inc. with and into Nicolet Bankshares, Inc., with Nicolet Bankshares, Inc. as the surviving corporation, whichever comes first.
2. Includes 9.808 Dividend Equivalents credited to unvested time-based RSUs in lieu of a cash dividend payment since the reporting person's last required Form filing. Each whole Dividend Equivalent is the economic equivalent of one share of MidWestOne Financial Group, Inc. common stock.
3. Shares held in the reporting person's account from within the MidWestOne Financial Group, Inc. 401(k) Plan, as of December 31, 2025. Reported shares have increased by 29.394 shares since the date of the reporting person's previous Form filing due to an allocation to her account.
4. The MidWestOne Financial Group, Inc. Employee Stock Ownership Plan (formerly the "ESOP") was merged into the MidWestOne Financial Group, Inc. 401(k) Plan (the "401(k)") on May 7, 2025. Shares from the reporting person's ESOP account were merged into the reporting person's account in the 401(k).
Remarks:
Kenneth R. Urmie, Deputy Corporate Secretary, for Susan M. Moore under Power of Attorney dated March 3, 2025 01/20/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did MOFG SVP Susan M. Moore report on this Form 4?

Susan M. Moore, SVP and chief risk officer of MidWestOne Financial Group, Inc. (MOFG), reported acquiring 1,125 restricted stock units of common stock on January 15, 2026 at a price of $0 per share.

When do the newly granted MOFG restricted stock units to Susan M. Moore vest?

The 1,125 restricted stock units granted to Susan M. Moore vest on January 15, 2027, or on the legal close date of the merger of MidWestOne Financial Group, Inc. with and into Nicolet Bankshares, Inc., with Nicolet Bankshares, Inc. as the surviving corporation, whichever occurs first.

How many MOFG shares does Susan M. Moore beneficially own after the reported transaction?

Following the reported transaction, Susan M. Moore beneficially owned 11,349.499 shares of MidWestOne Financial Group, Inc. common stock directly and 1,345.938 shares indirectly through the company’s 401(k) Plan.

What are dividend equivalents mentioned in Susan M. Moore’s MOFG holdings?

The filing notes that Moore’s direct holdings include 9.808 dividend equivalents credited to unvested time-based restricted stock units in lieu of cash dividend payments. Each whole dividend equivalent is the economic equivalent of one share of MOFG common stock.

How are Susan M. Moore’s MOFG shares held through the 401(k) Plan reported?

The filing reports 1,345.938 MOFG shares held indirectly in Moore’s account within the MidWestOne Financial Group, Inc. 401(k) Plan as of December 31, 2025, reflecting an increase of 29.394 shares since her previous Form filing due to an allocation.

What plan changes affecting MOFG shares are described in the Form 4 footnotes?

The footnotes state that the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan (ESOP) was merged into the MidWestOne Financial Group, Inc. 401(k) Plan on May 7, 2025, and shares from Moore’s ESOP account were merged into her 401(k) account.