CALDWELL THOMAS G 4

4 · MIDDLEFIELD BANC CORP · Filed Jan 4, 2022

Form 4

Period: 2022-01-03

DirectorPresident/Chief Executive Offi

Transactions

Holdings

Conditional Stock
Exercise: $22.50Exp: 2024-02-23→ Common Stock (5,291 underlying)
5,291
Conditional Stock
Exercise: $21.21Exp: 2022-03-01→ Common Stock (5,396 underlying)
5,396
Common Stock
31,627.311
Conditional Stock
Exercise: $26.09Exp: 2023-02-25→ Common Stock (4,387 underlying)
4,387
Common Stock
(indirect: By Children)
536.148

Footnotes (6)

[F1]Shares acquired under Director Compensation program for members of the Board of Directors of The Middlefield Banking Company.
[F2]Includes shares acquired under MBCN Dividend Reinvestment Plan.
[F3]Includes shares held jointly with spouse.
[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 February 25, 2021.
[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 February 26, 2020.
[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 March 5, 2019.

Documents

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