SEC Form 4 · accession 0001209191-15-036834

CMS Bancorp, Inc. · CMSB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec. VP & Sr. Lending Officer

Period of report

Apr 28, 2015

Accepted (ET)

Apr 28, 2015 · 9:59 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001350072

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01 per share^F1	Apr 28, 2015	D	13,053	—	D	0	D
Common Stock, par value $0.01 per share^F1	Apr 28, 2015	D	1,230	—	D	0	I	By IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Employee Stock Option (Right to Buy)^F2	$10.12	Apr 28, 2015	D	22,000	D	—	Nov 28, 2017	Common Stock	22,000	D
Employee Stock Option (Right to Buy)^F3	$7.25	Apr 28, 2015	D	2,500	D	—	Nov 23, 2019	Common Stock	2,500	D
Employee Stock Option (Right to Buy)^F4	$8.66	Apr 28, 2015	D	2,500	D	—	Apr 27, 2021	Common Stock	2,500	D

F1Each share has been converted into the right to receive $13.25 per share merger consideration pursuant to an Agreement and Plan of Merger dated Sept. 25, 2014 by and among Putnam County Savings Bank, Putnam County Acquisition Corp., CMS Bancorp, Inc. and CMS Bank.
F2This option, which provided for vesting in five equal annual installments beginning on November 28, 2008, was cancelled in the merger in exchange for a cash payment of $68,860.00 representing the difference between the exercise price of the option and the per share merger consideration of $13.25.
F3This option, which provided for vesting in five equal annual installments beginning on November 23, 2010, was cancelled in the merger in exchange for a cash payment of $15,000.00 representing the difference between the exercise price of the option and the per share merger consideration of $13.25.
F4This option, which provided for vesting in five equal annual installments beginning on April 27, 2012, was cancelled in the merger in exchange for a cash payment of $11,475.00 representing the difference between the exercise price of the option and the per share merger consideration of $13.25.

Exhibit - Power of Attorney