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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 | ||||||||
Employee Stock Option (Common Stock - right to buy) | $ 24.4639 | 06/01/2014 | A | 1,736 | 06/01/2014 | 11/22/2014 | Common Stock | 1,736 | (4) | 1,736 | D | ||||
Employee Stock Option (Common Stock - right to buy) | $ 22.8662 | 06/01/2014 | A | 1,653 | 06/01/2014 | 11/28/2015 | Common Stock | 1,653 | (5) | 1,653 | D | ||||
Employee Stock Option (Common Stock - right to buy) | $ 22 | 06/01/2014 | A | 1,575 | 06/01/2014 | 11/27/2016 | Common Stock | 1,575 | (6) | 1,575 | D | ||||
Employee Stock Option (Common Stock - right to buy) | $ 16 | 06/01/2014 | A | 7,000 | 06/01/2014 | 12/03/2017 | Common Stock | 7,000 | (7) | 7,000 | D | ||||
Employee Stock Option (Common Stock - right to buy) | $ 7.8 | 06/01/2014 | A | 7,000 | 06/01/2014 | 11/24/2018 | Common Stock | 7,000 | (8) | $ 7,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SULLIVAN THOMAS R C/O MERCANTILE BANK CORPORATION 310 LEONARD STREET GRAND RAPIDS, MI 49504 |
CHAIRMAN OF THE BOARD |
/s/ Bradley J. Wyatt, Attorney-in-Fact | 06/03/2014 | |
**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) | Received in exchange for 30,330 shares of Firstbank Corporation common stock in connection with the merger of Firstbank Corporation into Mercantile Bank Corporation (the "Merger"). On the effective date of the Merger, the closing price of Firstbank's common stock was $21.59 per share and the closing price of Mercantile's common stock was $21.43 per share. |
(2) | Received in exchange for 16,728 shares of Firstbank Corporation common stock in connection with the Merger. |
(3) | Received in exchange for 53,814 shares of Firstbank Corporation common stock in connection with the Merger. |
(4) | Received in the Merger in exchange for an employee stock option to acquire 1,736 shares of Firstbank Corporation common stock for $24.4639 per share. |
(5) | Received in the Merger in exchange for an employee stock option to acquire 1,653 shares of Firstbank Corporation common stock for $22.8662 per share. |
(6) | Received in the Merger in exchange for an employee stock option to acquire 1,575 shares of Firstbank Corporation common stock for $22.00 per share. |
(7) | Received in the Merger in exchange for an employee stock option to acquire 7,000 shares of Firstbank Corporation common stock for $16.00 per share. |
(8) | Received in the Merger in exchange for an employee stock option to acquire 7,000 shares of Firstbank Corporation common stock for $7.80 per share. |