SEC Form 4 · accession 0001209191-15-068103
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Allen Brown
Director
Period of report
Aug 26, 2015
Accepted (ET)
Aug 26, 2015 · 5:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001123270
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 26, 2015 | P | 500 | $6.805 | A | 23,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to buyF1 | $11.16 | holding | — | — | — | — | May 6, 2018 | Common Stock | 16,000 | 16,000 | D |
| Options to buyF2 | $5.05 | holding | — | — | — | — | Jan 18, 2021 | Common Stock | 15,000 | 15,000 | D |
| Options to buyF3 | $3.39 | holding | — | — | — | — | Jan 17, 2022 | Common Stock | 15,000 | 15,000 | D |
| Options to buyF4 | $4.82 | holding | — | — | — | — | Jan 22, 2023 | Common Stock | 11,000 | 11,000 | D |
| Options to buyF5 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1Directors Stock Options. The options are fully vested.
- F2Stock options granted under the 2004 Stock Incentive Plan. The options (15,000 in the original grant) vest in annual installments of 20% each beginning January 18, 2012.
- F3Stock options granted under the 2004 Stock Incentive Plan. The options (15,000 in the original grant) vest in annual installments of 20% each beginning January 17, 2013.
- F4Stock options granted under the 2004 Stock Incentive Plan. The options (11,000 in the original grant) vest in annual installments of 20% each beginning January 22, 2014.
- F5Stock options granted under the 2004 Stock Incentive Plan. The options (7,500 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.