SEC Form 4 · accession 0001209191-17-052009
BANK MUTUAL CORP · BKMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Carter
Officer — Vice President and Secretary
Period of report
Sep 6, 2017
Accepted (ET)
Sep 8, 2017 · 1:25 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 Stock | Sep 6, 2017 | M | 8,000 | $5.05 | A | 8,800 | D | |
| Common Stock | Sep 6, 2017 | F | 4,489 | $9.00 | D | 4,311 | D | |
| Common Stock | holding | — | — | — | 28,918 | I | Held jointly with spouse | |
| Common StockF1 | holding | — | — | — | 19,123 | I | Held in 401(k) plan |
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 | $5.05 | Sep 6, 2017 | M | 8,000 | D | — | Jan 18, 2021 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Held in the Bank Mutual Corporation 401(k) Plan.
- F2Stock options granted under the 2004 Stock Incentive Plan. The options were fully vested.