CALDWELL THOMAS G 4/A

4/A · MIDDLEFIELD BANC CORP · Filed Jan 2, 2019

Form 4/AAmended

Period: 2019-01-02

DirectorPresident/Chief Executive Offi

Transactions

Holdings

Conditional Stock Award
Exercise: $38.70Exp: 2020-07-20→ Common Stock (753 underlying)
753
Conditional Stock Award
Exercise: $32.40Exp: 2019-03-01→ Common Stock (865 underlying)
865
Conditional Stock Award
Exercise: $48.20Exp: 2021-05-22→ Common Stock (2,240 underlying)
2,240
Common Stock
(indirect: By Children)
248.94
Stock Option (right to buy)
Exercise: $17.55From: 2012-05-09Exp: 2021-05-09→ Common Stock (2,500 underlying)
2,500
Common Stock
14,222

Footnotes (6)

[F1]Shares acquired under Director Compensation program for members of the Board of Directors of The Middlefield Banking Company.
[F2]Includes shares held jointly with spouse.
[F3]Includes shares acquired under MBCN Dividend Reinvestment Plan.
[F4]Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated March 4, 2016.
[F5]Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated July 20, 2017.
[F6]Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8-K filing dated May 29, 2018.

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