SEC Form 4 · accession 0001225208-15-022281
PULASKI FINANCIAL CORP · PULB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Bjorkman
Officer — President - Commercial Lending
Period of report
Dec 11, 2015
Accepted (ET)
Dec 15, 2015 · 9:27 am 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 Stock | Dec 11, 2015 | A | 6,506 | $0.00 | A | 40,286 | D | |
| Common Stock | Dec 11, 2015 | F | 2,170 | $16.27 | D | 38,116 | D | |
| Common StockF1 | holding | — | — | — | 7,329 | 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 | $7.70 | holding | — | — | — | Nov 3, 2009 | Nov 3, 2018 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F2 | $11.13 | holding | — | — | — | Nov 19, 2008 | Nov 19, 2017 | Common Stock | 50,000 | 50,000 | D |
| Stock pursuant to Deferred Compensation AgreementF3 | — | holding | — | — | — | — | — | Common Stock | 69,237 | 69,237 | D |
Explanation of responses
- F1This form reflects increases in beneficial ownership resulting from exempt acquisitions under a KSOP plan pursuant to rule 16b-3(c).
- F2Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.
- F3Each share pursuant to the Deferred Compensation Agreement is the economic equivalent of one share of common stock. The shares pursuant to the Deferred Compensation Agreement become payable, in shares of common stock, upon the reporting person's termination of employment.