SEC Form 4 · accession 0001209191-17-004353
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas H Buestrin
Director
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 10:57 am 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 StockF3 | Jan 17, 2017 | A | 1,580 | — | A | 56,423 | D | |
| Common StockF1 | holding | — | — | — | 32,029 | I | By Trust | |
| Common StockF2 | holding | — | — | — | 15,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to buyF4 | $5.05 | holding | — | — | — | — | Jan 18, 2021 | Common Stock | 15,000 | 15,000 | D |
| Options to buyF4 | $3.39 | holding | — | — | — | — | Jan 17, 2022 | Common Stock | 15,000 | 15,000 | D |
| Options to buyF5 | $4.82 | holding | — | — | — | — | Jan 22, 2023 | Common Stock | 11,000 | 11,000 | D |
| Options to buyF6 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1As co-trustee of the Lisa M. Buestrin 1996 Trust.
- F2By profit sharing plan trust as trustee.
- F3Restricted stock grant under the 2014 Incentive Compensation Plan. The shares (1,580 shares in the original grant) vest in annual installments of 33% each beginning January 17, 2018.
- F4Directors Stock Options. The options are fully vested.
- F5Stock 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.
- F6Stock 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.