SEC Form 4 · accession 0001209191-16-092746
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Schroeder
Officer — Controller
Period of report
Jan 19, 2016
Accepted (ET)
Jan 20, 2016 · 6:40 pm EST
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 | holding | — | — | — | 2,500 | D | ||
| Common StockF1,F2 | holding | — | — | — | 920 | I | Shares held in 401(k) | |
| Common StockF3 | holding | — | — | — | 1,834 | I | Shares held by wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to buyF9 | $7.29 | Jan 19, 2016 | A | 3,600 | A | — | Jan 19, 2026 | Common Stock | 3,600 | 3,600 | D |
| Options to buyF4 | $5.05 | holding | — | — | — | — | Jan 18, 2021 | Common Stock | 8,000 | 8,000 | D |
| Options to buyF5 | $3.39 | holding | — | — | — | — | Jan 17, 2022 | Common Stock | 7,500 | 7,500 | D |
| Options to buyF6 | $4.82 | holding | — | — | — | — | Jan 22, 2023 | Common Stock | 5,000 | 5,000 | D |
| Options to buyF7 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 3,500 | 3,500 | D |
| Options to buyF8 | $6.70 | holding | — | — | — | — | Jan 20, 2025 | Common Stock | 1,500 | 1,500 | D |
Explanation of responses
- F1Includes shares acquired through a dividend reinvestment plan.
- F2Held in the Bank Mutual Corporation 401(k) Plan.
- F3Shares held by Mr. Schroeder's wife.
- F4Stock options granted under the 2004 Stock Incentive Plan. The options are fully vested.
- 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 17, 2013.
- F6Stock options granted under the 2004 Stock Incentive Plan. The options (5,000 in the original grant) vest in annual installments of 20% each beginning January 22, 2014.
- F7Stock options granted under the 2004 Stock Incentive Plan. The options (3,500 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.
- F8Stock options granted under the 2014 Incentive Compensation Plan. The options (1,500 in the original grant) vest in annual installments of 33% each beginning January 20, 2016
- F9Stock options granted under the 2014 Incentive Compensation Plan. The options (3,600 in the original grant) vest in annual installments of 33% each beginning January 19, 2017.