SEC Form 4 · accession 0001209191-17-004579
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Dosland
Officer — Senior Vice President-CFO
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 5:08 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 StockF1 | Jan 17, 2017 | A | 7,400 | — | A | 36,907 | D | |
| Common StockF2 | holding | — | — | — | 32,493 | D | ||
| Common Stock | holding | — | — | — | 37,600 | I | Held in IRA | |
| Common Stock | holding | — | — | — | 6,800 | I | By wife in IRA | |
| Common StockF3,F4 | holding | — | — | — | 12,516 | I | Held in 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to buyF5 | $12.025 | holding | — | — | — | — | Aug 18, 2018 | Common Stock | 50,000 | 50,000 | D |
| Options to buyF5 | $5.05 | holding | — | — | — | — | Jan 18, 2021 | Common Stock | 15,000 | 15,000 | D |
| Options to buyF5 | $3.39 | holding | — | — | — | — | Jan 17, 2022 | Common Stock | 20,000 | 20,000 | D |
| Options to buyF6 | $4.82 | holding | — | — | — | — | Jan 22, 2023 | Common Stock | 12,000 | 12,000 | D |
| Options to buyF7 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Restricted stock grant under the 2014 Incentive Compensation Plan. The shares (7,400 shares in the original grant) vest in annual installments of 33% each beginning January 17, 2018.
- F2Held jointly with spouse.
- F3Includes shares acquired through a dividend reinvestment plan.
- F4Held in the Bank Mutual Corporation 401(k) Plan.
- F5Stock options granted under the 2004 Stock Incentive Plan. The options are fully vested.
- F6Stock options granted under the 2004 Stock Incentive Plan. The options (12,000 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 (10,000 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.