SEC Form 4 · accession 0001225208-15-001068
PULASKI FINANCIAL CORP · PULB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary W Douglass
Officer — President & CEO
Period of report
Jan 7, 2015
Accepted (ET)
Jan 8, 2015 · 3:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001062438
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 7, 2015 | A | 540 | $12.10 | A | 112,404 | D | |
| Common Stock | Jan 7, 2015 | F | 209 | $12.10 | D | 112,195 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By IRA | |
| Common Stock | holding | — | — | — | 8,291 | I | By KSOP | |
| Common StockF2 | holding | — | — | — | 17,500 | I | By Stock Award IV | |
| Common StockF3 | holding | — | — | — | 3,899 | I | By Stock Award V |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $6.69 | holding | — | — | — | Jan 1, 2010 | Jan 1, 2019 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy)F4 | $12.84 | holding | — | — | — | May 1, 2009 | May 1, 2018 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Represents shares awarded as part of Mr. Douglass' bi-weekly salary.
- F2Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest as follows: 25% on the date the Form 10-K is filed for the year ended September 30, 2012, 25% on February 19, 2015 and 50% on the date the Form 10-K is filed for the year ended September 30, 2014, assuming, in each case, achievement of certain performance objectives.
- F3Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest in three equal annual installments commencing on November 7, 2013.
- F4Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.