SEC Form 4 · accession 0000939057-17-000070
FS Bancorp, Inc. · FSBW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew D. Mullet
Officer — Chief Financial Officer
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 10:17 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001530249
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 10, 2017 | M | 5,763 | $16.89 | A | 9,231 | D | |
| Common StockF1 | Feb 10, 2017 | S | 2,822 | $39.11 | D | 6,409 | D | |
| Common StockF2 | Feb 13, 2017 | S | 5,763 | $38.75 | D | 3,468 | D | |
| Common Stock | holding | — | — | — | 2,800 | I | By spouse's IRA | |
| Common Stock | holding | — | — | — | 11,062 | I | By IRA | |
| Common Stock | holding | — | — | — | 17,050 | I | Stock award |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $16.89 | Feb 10, 2017 | M | 5,763 | D | — | May 8, 2024 | Common Stock | 5,763 | 11,737 | D |
Explanation of responses
- F1The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.90 to $39.30 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1).
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.50 to $38.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2).
- F3Stock options awarded pursuant to the FS Bancorp, Inc. 2013 Equity Incentive Plan. Vests in equal installments of 20% per year beginning on May 8, 2015.