SEC Form 4 · accession 0001209191-17-019773
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Baumgarten
Officer — President and CEO · Director
Period of report
Mar 10, 2017
Accepted (ET)
Mar 10, 2017 · 12:14 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 | Mar 10, 2017 | M | 40,000 | $3.39 | A | 297,640 | 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 buyF2 | $3.39 | Mar 10, 2017 | M | 40,000 | D | — | Jan 17, 2022 | Common Stock | 40,000 | 0 | D |
| Options to buyF2 | $7.22 | holding | — | — | — | — | May 3, 2020 | Common Stock | 50,000 | 50,000 | D |
| Options to buyF3 | $4.82 | holding | — | — | — | — | Jan 22, 2023 | Common Stock | 24,000 | 24,000 | D |
| Options to buyF4 | $7.17 | holding | — | — | — | — | Jan 21, 2024 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Includes shares acquired through a dividend reinvestment plan.
- F2Stock options granted under the 2004 Stock Incentive Plan. The options are fully vested.
- F3Stock options granted under the 2004 Stock Incentive Plan. The options (24,000 in the original grant) vest in annual installments of 20% each beginning January 22, 2014.
- F4Stock options granted under the 2004 Stock Incentive Plan. The options (20,000 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.