SEC Form 4/A · accession 0000892712-16-001496
BAYLAKE CORP · BYLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert J Cera
Officer — Chief Executive Officer · Director
Period of report
Mar 15, 2016
Accepted (ET)
Mar 22, 2016 · 6:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000275119
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | Mar 15, 2016 | A | 5,280 | $15.17 | A | 5,280 | D | |
| Common StockF2,F3 | Mar 15, 2016 | F | 3,000 | $15.17 | D | 47,490 | D | |
| Common Stock | holding | — | — | — | 30,350 | I | By IRA | |
| Common StockF4 | holding | — | — | — | 2,028 | I | By ESPP | |
| Common Stock | holding | — | — | — | 15,000 | I | By Baylake Bank 401K Plan FBO Robert Cera | |
| Restricted Stock UnitsF5 | holding | — | — | — | 8,918 | D | ||
| Restricted Stock UnitsF6 | holding | — | — | — | 4,263 | D | ||
| Restricted Stock UnitsF7 | holding | — | — | — | 2,201 | D | ||
| Restricted Stock UnitsF8 | holding | — | — | — | 5,010 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The aggregate restricted stock units were granted on 3/15/16 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
- F2Represents shares used to satisfy tax withholding obligation upon vesting of restricted stock units.
- F3Increased shares reflect vested restricted stock units.
- F4Increased shares reflect shares purchased through an Employee Stock Purchase Plan.
- F5The aggregate restricted stock units were granted on 4/1/12 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
- F6The aggregate restricted stock units were granted on 3/19/13 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
- F7The aggregate restricted stock units were granted on 3/18/14 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
- F8The aggregate restricted stock units were granted on 3/17/15 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.