SEC Form 4 · accession 0001209191-17-004587
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terri M Pfarr
Officer — Vice President of Bank Mutual
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 5:12 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 | 4,700 | — | A | 26,200 | D | |
| Common StockF2 | holding | — | — | — | 3,067 | 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 buyF3 | $5.36 | holding | — | — | — | — | May 7, 2023 | Common Stock | 10,000 | 10,000 | D |
| Options to buyF4 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Restricted stock grant under the 2014 Incentive Compensation Plan. The shares (4,700 shares in the original grant) vest in annual installments of 33% each beginning January 17, 2018.
- F2Held in the Bank Mutual Corporation 401(k) Plan.
- F3Stock options granted under the 2004 Stock Incentive Plan. The options (10,000 in the original grant) vest in annual installments of 20% each beginning May 7, 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.