SEC Form 4 · accession 0001225208-15-020580
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
Nov 7, 2015
Accepted (ET)
Nov 9, 2015 · 4:11 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 | Nov 7, 2015 | F | 1,496 | $15.18 | D | 133,190 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By IRA | |
| Common Stock | holding | — | — | — | 9,274 | I | By KSOP |
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)F2 | $6.69 | holding | — | — | — | Jan 1, 2010 | Jan 1, 2019 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy)F2 | $12.84 | holding | — | — | — | May 1, 2009 | May 1, 2018 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Since the reporting person's last report 3,899 shares previously held by Stock Award V have vested and are now owned directly.
- F2Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.