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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $ 30.33 | 03/22/2019 | D | 1,458 | 02/24/2017(2)(3) | 02/24/2026(2)(3) | Common Stock | 1,458 | $ 0 | 0 | D | ||||
| Restricted Stock Units | $ 0 | 03/22/2019 | D | 332 | (4)(5) | (4)(5) | Common Stock | 332 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 45.67 | 03/22/2019 | D | 750 | (3)(6) | (3)(6) | Common Stock | 750 | $ 0 | 0 | D | ||||
| Performance Share Units | $ 0 | 03/22/2019 | D | 712 | (7) | (7) | Common Stock | 712 | $ 0 | 0 | D | ||||
| Restricted Stock Units | $ 0 | 03/22/2019 | D | 313 | (5)(8) | (5)(8) | Common Stock | 313 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 41.01 | 03/22/2019 | D | 1,100 | (3)(9) | (3)(9) | Common Stock | 1,100 | $ 0 | 0 | D | ||||
| Performance Share Units | $ 0 | 03/22/2019 | D | 2,261 | (7) | (7) | Common Stock | 2,261 | $ 0 | 0 | D | ||||
| Restricted Stock Units | $ 0 | 03/22/2019 | D | 438 | (5)(10) | (5)(10) | Common Stock | 438 | $ 0 | 0 | D | ||||
| Restricted Stock Units | $ 0 | 03/22/2019 | D | 775 | (5)(11) | (5)(11) | Common Stock | 775 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 27.09 | 03/22/2019 | D | 365 | 08/28/2014(3)(12) | 08/28/2023(12) | Common Stock | 365 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 31.26 | 03/22/2019 | D | 577 | 02/25/2016(3)(13) | 02/25/2025(13) | Common Stock | 577 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 29.8 | 03/22/2019 | D | 379 | 02/26/2015(3)(14) | 02/26/2024(14) | Common Stock | 379 | $ 0 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Francoeur John C/O MB FINANCIAL, INC. 6111 NORTH RIVER ROAD ROSEMONT, IL 60018 |
Chief Accounting Officer | |||
| /s/ Doria L. Koros, attorney-in-fact for Mr. Francoeur | 03/26/2019 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | Disposed of upon completion of the merger (the "Merger") of a wholly owned subsidiary of Fifth Third Bancorp ("Fifth Third") with and into the Issuer, effective March 22, 2019. Pursuant to the Agreement and Plan of Merger, dated as of May 20, 2018, between the Issuer and Fifth Third (the "Merger Agreement"), upon completion of the Merger, each outstanding share of the Issuer's common stock converted into the right to receive 1.45 shares of Fifth Third common stock and $5.54 in cash. The closing price per share of Fifth Third common stock on March 21, 2019, the last trading day prior to completion of the Merger, was $25.48. |
| (2) | Option to purchase shares of common stock granted to reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. The option vests annually over 4 years (25% per year beginning February 24, 2017). |
| (3) | This option was assumed by Fifth Third upon completion of the Merger and converted into an option to purchase Fifth Third common stock as provided under the terms of the Merger Agreement. |
| (4) | Restricted Stock Units granted to the reporting person under the Issuer's Amended and Restated Omnibus Incentive Plan equal to the same amount of shares of common stock. The remaining restricted stock units are scheduled to vest on February 24, 2020. |
| (5) | These restricted stock units were assumed by Fifth Third upon completion of the Merger and converted into Fifth Third restricted stock units as provided under the terms of the Merger Agreement. |
| (6) | Option to purchase shares of common stock granted to reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. The option vests annually over 4 years (25% per year beginning February 22, 2018). |
| (7) | Reflects the number of performance share units earned at the end of the performance period, as determined at the closing of the Merger. These performance share units were assumed by Fifth Third upon completion of the Merger and converted into Fifth Third restricted stock units as provided under the terms of the Merger Agreement. |
| (8) | Restricted Stock Units granted to the reporting person under the Issuer's Amended and Restated Omnibus Incentive Plan equal to the same amount of shares of common stock. The remaining restricted stock units are scheduled to vest in one-half annual increments beginning February 22, 2020. |
| (9) | Option to purchase shares of common stock granted to reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. The option vests annually over 4 years (25% per year beginning February 28, 2019). |
| (10) | Restricted Stock Units granted to the reporting person under the Issuer's Amended and Restated Omnibus Incentive Plan equal to the same amount of shares of common stock. The remaining restricted stock units are scheduled to vest on February 28, 2020. |
| (11) | Restricted Stock Units granted to the reporting person under the Issuer's Amended and Restated Omnibus Incentive Plan equal to the same amount of shares of common stock. The remaining restricted stock units are scheduled to vest in one-third annual increments beginning February 28, 2020. |
| (12) | Option to purchase shares of common stock granted to reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. The option vests annually over 4 years (25% per year beginning on August 28, 2014). |
| (13) | Option to purchase shares of common stock granted to the reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. The option vests annually over 4 years (25% per year beginning on February 25, 2016). |
| (14) | Option to purchase shares of common stock granted to the reporting person under Issuer's Amended and Restated Omnibus Incentive Plan. the option vests annually over 4 years (25% per year beginning February 26, 2015). |