SEC Form 4 · accession 0001209191-18-007000
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
Feb 1, 2018
Accepted (ET)
Feb 2, 2018 · 5:07 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 | Feb 1, 2018 | D | 4,311 | — | D | 0 | D | |
| Common StockF1 | Feb 1, 2018 | D | 28,918 | — | D | 0 | I | Held jointly with spouse |
| Common StockF2,F1,F3 | Feb 1, 2018 | D | 19,219 | — | D | 0 | I | Held in 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 1, 2018, Bank Mutual Corporation ("BKMU") completed the previously announced merger (the "Merger") of BKMU with and into Associated Banc-Corp ("Associated"), pursuant to the Agreement and Plan of Merger, dated as of July 20, 2017, by and between BKMU and Associated (the "Merger Agreement"). In accordance with the terms of the Merger Agreement, at the effective time of the Merger each share of BKMU common stock issued and outstanding immediately prior to the effective time of the Merger (including any restricted shares) was converted into 0.422 shares of Associated common stock with cash paid in lieu of any fractional shares. On January 31, 2018, the closing price of Associated common stock on the New York Stock Exchange was $24.75 per share.
- F2Reflects acquisitions in the 401(k) Plan that are exempt from reporting.
- F3Held in the Bank Mutual Corporation 401(k) Plan.