SEC Form 4 · accession 0001209191-16-138368
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick W. Lawton
Officer — Senior VP of Bank Mutual
Period of report
Aug 23, 2016
Accepted (ET)
Aug 23, 2016 · 5:45 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 StockF2 | Aug 23, 2016 | P | 2,500 | $7.65 | A | 12,500 | D | |
| Common StockF1 | holding | — | — | — | 29,500 | 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 buyF3 | $5.70 | holding | — | — | — | — | May 29, 2023 | Common Stock | 20,000 | 20,000 | D |
| Options to buyF4 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Held as an individual.
- F2Held jointly with spouse.
- F3Stock options granted under the 2004 Stock Incentive Plan. The options (20,000 in the original grant) vest in annual installments of 20% each beginning May 29, 2014.
- F4Stock options granted under the 2004 Stock Incentive Plan. The options (8,000 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.