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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Midwest Banc Hlds (MM) | NASDAQ:MBHI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.15 | 0 | 01:00:00 |
MIDWEST
BANC HOLDINGS, INC.
|
(Name
of Issuer)
Series
A Noncumulative Redeemable Convertible Perpetual Preferred Stock, Par
Value $0.01
|
(Title
of Class of Securities)
598251205
|
(CUSIP
Number)
December
31, 2009
|
CUSIP
NO. 598251205
|
13G
|
Page
2 of 9 Pages
|
1
|
NAMES
OF REPORTING PERSONS
M3
FUNDS, LLC
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
o
(b)
o
|
||
3
|
SEC
USE ONLY
|
||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
STATE
OF DELAWARE, UNITED STATES OF AMERICA
|
||
5
|
SOLE
VOTING POWER
N/A
|
||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
|
EACH
REPORTING
PERSON WITH
|
7
|
SOLE
DISPOSITIVE POWER
N/A
|
|
8
|
SHARED
DISPOSITIVE POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN
SHARES
o
|
||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
of the outstanding Series A Noncumulative Redeemable Convertible Perpetual
Preferred Stock
|
||
12
|
TYPE
OF REPORTING PERSON
OO
(Limited Liability Company)
|
CUSIP
NO. 598251205
|
13G
|
Page
3 of 9 Pages
|
1
|
NAMES
OF REPORTING PERSONS
M3
PARTNERS, L.P.
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
o
(b)
o
|
||
3
|
SEC
USE ONLY
|
||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
STATE
OF DELAWARE, UNITED STATES OF AMERICA
|
||
5
|
SOLE
VOTING POWER
N/A
|
||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
|
EACH
REPORTING
PERSON WITH
|
7
|
SOLE
DISPOSITIVE POWER
N/A
|
|
8
|
SHARED
DISPOSITIVE POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN
SHARES
o
|
||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
of the outstanding Series A Noncumulative Redeemable Convertible Perpetual
Preferred Stock
|
||
12
|
TYPE
OF REPORTING PERSON
PN
(Limited Partnership)
|
CUSIP
NO. 598251205
|
13G
|
Page
4 of 9 Pages
|
1
|
NAMES
OF REPORTING PERSONS
M3F,
INC.
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
o
(b)
o
|
||
3
|
SEC
USE ONLY
|
||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
STATE
OF UTAH, UNITED STATES OF AMERICA
|
||
5
|
SOLE
VOTING POWER
N/A
|
||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
|
EACH
REPORTING
PERSON WITH
|
7
|
SOLE
DISPOSITIVE POWER
N/A
|
|
8
|
SHARED
DISPOSITIVE POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN
SHARES
o
|
||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
of the outstanding Series A Noncumulative Redeemable Convertible Perpetual
Preferred Stock
|
||
12
|
TYPE
OF REPORTING PERSON
IA,
CO
|
CUSIP
NO. 598251205
|
13G
|
Page
5 of 9 Pages
|
1
|
NAMES
OF REPORTING PERSONS
Jason
A. Stock
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
o
(b)
o
|
||
3
|
SEC
USE ONLY
|
||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
UNITED
STATES OF AMERICA
|
||
5
|
SOLE
VOTING POWER
N/A
|
||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
|
EACH
REPORTING
PERSON WITH
|
7
|
SOLE
DISPOSITIVE POWER
N/A
|
|
8
|
SHARED
DISPOSTIVE POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN
SHARES
o
|
||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
of the outstanding Series A Noncumulative Redeemable Convertible Perpetual
Preferred Stock
|
||
12
|
TYPE
OF REPORTING PERSON
IN
|
CUSIP
NO. 598251205
|
13G
|
Page
6 of 9 Pages
|
1
|
NAMES
OF REPORTING PERSONS
William
C. Waller
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
o
(b)
o
|
||
3
|
SEC
USE ONLY
|
||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
UNITED
STATES OF AMERICA
|
||
5
|
SOLE
VOTING POWER
N/A
|
||
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
|
EACH
REPORTING
PERSON WITH
|
7
|
SOLE
DISPOSITIVE POWER
N/A
|
|
8
|
SHARED
DISPOSITIVE POWER
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
159,039
depository shares of shares of Series A Noncumulative Redeemable
Convertible Perpetual Preferred Stock
|
||
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN
SHARES
o
|
||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.2%
of the outstanding Series A Noncumulative Redeemable Convertible Perpetual
Preferred Stock
|
||
12
|
TYPE
OF REPORTING PERSON
IN
|
Item
1.
|
(a)
|
Name of
Issuer:
|
(b)
|
Address of Issuer’s Principal
Executive Offices:
|
Item
2.
|
(a)
|
Name of
Persons
Filing:
|
(b)
|
Address of Principal Business
Office or, if None,
Residence:
|
(c)
|
Citizenship:
|
(d)
|
Title of Class of
Securities:
|
|
Series
A Noncumulative Redeemable Convertible Perpetual Preferred Stock, Par
Value $0.01
|
(e)
|
CUSIP
Number:
|
Item
3.
|
If This Statement is Filed
Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person
Filing is a:
|
|
(M3F,
Inc. is a registered investment adviser; for all other reporting persons
Item 3 is not applicable)
|
Item
4.
|
Ownership.
|
M3
Funds, LLC
|
M3
Partners, LP
|
M3F,
Inc.
|
Jason
A. Stock
|
William
C. Waller
|
|
(a)
Amount Beneficially Owned:
|
159,039
|
159,039
|
159,039
|
159,039
|
159,039
|
(b)
Percent of Class:
|
9.2%
|
9.2%
|
9.2%
|
9.2%
|
9.2%
|
(c)
Number of Shares to
Which
Reporting Person
Has:
|
|||||
(i)
Sole Voting Power:
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
(ii)
Shared Voting Power:
|
159,039
|
159,039
|
159,039
|
159,039
|
159,039
|
(iii) Sole
Dispositive Power:
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
(iv)
Shared Dispositive Power:
|
159,039
|
159,039
|
159,039
|
159,039
|
159,039
|
|
Jason
A. Stock and William C. Waller are the managers of the General Partner and
the managing directors of the Investment Adviser, and accordingly could be
deemed to be indirect beneficial owners of the reported
shares. They could be deemed to share such indirect beneficial
ownership with the General Partner, the Investment Adviser and M3
Partners.
|
Item
5.
|
Ownership of Five Percent or
Less of a Class.
|
|
If
this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following
o
.
|
Item
6.
|
Ownership of More than Five
Percent on Behalf of Another
Person.
|
|
Not
applicable.
|
Item
7.
|
Identification and
Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company or Control
Person.
|
Item
8.
|
Identification and
Classification of Members of the
Group.
|
Item
9.
|
Notice of Dissolution of
Group.
|
Item
10.
|
Certification.
|
Date:
January 26, 2010
|
|
M3
PARTNERS, LP
|
|
By: M3
Funds, LLC, General Partner
By:
/s/ Jason A.
Stock
Name:
Jason A. Stock
Title:Manager
|
|
Date:
January 26, 2010
|
|
M3
FUNDS, LLC
|
|
By:
/s/ Jason A.
Stock
Name:
Jason A. Stock
Title: Manager
|
|
Date:
January 26, 2010
|
|
M3F,
INC.
|
|
By:
/s/ Jason A.
Stock
Name:
Jason A. Stock
Title: Managing
Director
|
|
Date:
January 26, 2010
|
|
/s/ Jason A.
Stock
|
|
Jason
A. Stock
|
|
Date:
January 26, 2010
|
|
/s/ William C.
Waller
|
|
William
C. Waller
|
1 Year Midwest Banc Hlds (MM) Chart |
1 Month Midwest Banc Hlds (MM) Chart |
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