-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SZJuVJnf9YxFWidIyBGy4tz+jUhU9QkkRNtLKiA+ar6rPvfjgmJI3XRPgwJBHCfF 6P2VEw200rfzWu1Hw/eXBA== 0001193125-05-028246.txt : 20050214 0001193125-05-028246.hdr.sgml : 20050214 20050214103600 ACCESSION NUMBER: 0001193125-05-028246 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050214 DATE AS OF CHANGE: 20050214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MIDWESTONE FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000741390 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421003699 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52545 FILM NUMBER: 05603887 BUSINESS ADDRESS: STREET 1: P.O. BOX 1104 CITY: OSKALOOSA STATE: IA ZIP: 52577 BUSINESS PHONE: 5156738448 MAIL ADDRESS: STREET 1: PO BOX 1104 CITY: OSKALOOSA STATE: IA ZIP: 52577 FORMER COMPANY: FORMER CONFORMED NAME: MAHASKA INVESTMENT CO DATE OF NAME CHANGE: 19940726 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MIDWESTONE FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000741390 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421003699 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P.O. BOX 1104 CITY: OSKALOOSA STATE: IA ZIP: 52577 BUSINESS PHONE: 5156738448 MAIL ADDRESS: STREET 1: PO BOX 1104 CITY: OSKALOOSA STATE: IA ZIP: 52577 FORMER COMPANY: FORMER CONFORMED NAME: MAHASKA INVESTMENT CO DATE OF NAME CHANGE: 19940726 SC 13G/A 1 dsc13ga.htm SCHEDULE 13G/A Schedule 13G/A

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 9)*

 

 

 

MidWestOne Financial Group, Inc.

(Name of Issuer)

 

COMMON STOCK

(Title of Class of Securities)

 

 

598510105

                                (CUSIP Number)                                

 

December 31, 2004

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

x Rule 13d-1(b)

 

¨ Rule 13d-1(c)

 

¨ Rule 13d-1(d)

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No.  559809108   SCHEDULE 13G    Page 2 of 5 Pages

 

  1.  

Name of Reporting Person

I.R.S. Identification No. of Above Person (entities only)

 

            MidWestOne Financial Group, Inc. ESOP

            I.R.S. No. 42-1291120

    
  2.  

Check the appropriate box if a member of a group

 

            N/A

    
  3.  

SEC Use Only

 

    
  4.  

Citizenship or Place of Organization

 

            Iowa

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

  

  5.    Sole Voting Power

 

                0

  6.    Shared Voting Power

 

                539,157* shares

  7.    Sole Dispositive Power

 

                539,157 shares

  8.    Shared Dispositive Power

 

                N/A

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

            539,157 shares

    
10.  

Check box if the aggregate amount in Row (9) excludes certain shares

 

            N/A

    
11.  

Percent of Class Represented by Amount in Row 9

 

            14.37%

    
12.  

Type of Reporting Person

 

            EP

    

 

*   Under the applicable ESOP documentation, each participant is entitled to direct the plan as to voting shares allocated to such participant’s account.

Page 3 of 5 Pages

 

ITEM 1

  

(a).

    NAME OF ISSUER.          
         MidWestOne Financial Group, Inc.

ITEM 1

  

(b).

    ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES.          
        

P. O. Box 1104

Oskaloosa, Iowa 52577

ITEM 2

  

(a).

    NAME OF PERSON FILING.          
         This filing is made on behalf of MidWestOne Financial Group, Inc. Employee Stock Ownership Plan and Trust (ESOP).

ITEM 2

  

(b).

    ADDRESS OF THE PRINCIPAL OFFICES:          
         The principal business office is MidWestOne Bank & Trust, Trust Department, P. O. Box 90, Oskaloosa, Iowa 52577.

ITEM 2

  

(c).

    CITIZENSHIP.          
         The Trust Agreement creating the ESOP is governed by the laws of the State of Iowa.

ITEM 2

  

(d).

    TITLE OF CLASS OF SECURITIES.          
         Common Stock.          

ITEM 2

  

(e).

    CUSIP NUMBER.          
         598510105          

ITEM 3.

   IF THE STATEMENT IS BEING FILED PURSUANT TO SECTION 240.13d-1(b), CHECK WHETHER THE PERSON FILING IS A:
    An employee benefit plan.

Page 4 of 5 Pages

 

ITEM 4.

    OWNERSHIP.          
     (a)    Amount Beneficially Owned:          
          The ESOP has direct control of the 539,157 shares of Common Stock held for the benefit of the participating employees.
     (b)    Percent of Class:          
          14.37%          
     (c)    (i)    Sole power to vote or direct the vote:          
               0          
          (ii)    Shared power to vote or direct the vote:          
               539,157          
               Under the ESOP Trust document, MidWestOne Bank & Trust (“the Trustee”) is authorized in its discretion to vote directly and to vote indirectly by proxy on all matters pertaining to all securities held by the ESOP. Notwithstanding the foregoing, each participant is entitled to direct the Plan as to any Company stock considered allocated to such participant’s account in accordance with IRC Section 409(e).
          (iii)    Sole power to dispose or direct the disposition of:          
               The Trustee has sole power to dispose or to direct the disposition of the 539,157 shares of Common Stock.          
          (iv)    Shared power to dispose or to direct the disposition of:          
               0          

ITEM 5.

    OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.     
     N/A     

ITEM 6.

    OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.     
     See item 4 above.     

ITEM 7.

    IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
     See items 3 and 4 above.

ITEM 8.

    IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.     
     N/A     

ITEM 9.

    NOTICE OF DISSOLUTION OF A GROUP.     
     N/A     

ITEM 10.

    CERTIFICATION.     
     By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect.

Page 5 of 5 Pages

SIGNATURE

 

After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

    MIDWESTONE BANK & TRUST, AS TRUSTEE
    /s/ Sherry Mattson

Date: February 14, 2005

   Name:  

Sherry Mattson

    Title:  

Trust Officer

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