Filing Details
- Accession Number:
- 0001209191-12-053807
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-19 17:04:20
- Reporting Period:
- 2012-11-16
- Filing Date:
- 2012-11-19
- Accepted Time:
- 2012-11-19 17:04:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1123270 | Bank Mutual Corp | BKMU | Savings Institution, Federally Chartered (6035) | 392004336 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1290818 | Jr T Michael Crowley | 4949 West Brown Deer Rd. Milwaukee WI 53223 | Chairman And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-11-16 | 3,000 | $3.94 | 1,338,246 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2012-11-16 | 2,000 | $3.94 | 121,326 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 129,368 | Indirect | By spouse |
| Common Stock | 40,000 | Indirect | By ESOP |
| Common Stock | 133,726 | Indirect | By 401(k) Plan |
| Common Stock | 146,905 | Indirect | Held in Benefit Restoration Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to buy | $10.67 | 2014-05-03 | 700,000 | 700,000 | Direct | |
| Common Stock | Option to buy | $5.05 | 2021-01-18 | 15,000 | 15,000 | Direct | |
| Common Stock | Option to buy | $3.39 | 2022-01-17 | 20,000 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-05-03 | 700,000 | 700,000 | Direct |
| 2021-01-18 | 15,000 | 15,000 | Direct |
| 2022-01-17 | 20,000 | 20,000 | Direct |
Footnotes
- As trustee of the family trust.
- Held in the Bank Mutual Corpration ESOP Plan. The information presented is based on the Plan statement dated 12-31-2011.
- Held in the Bank Mutual Corporation 401(k) Plan. The information presented is based on the Plan statement dated 12-31-2011.
- Held in Benefit Restoration Plan, a non-qualified plan, which operates as an "excess benefits" plan relating to two company qualified benefit plans. The information presented is based on the Plan statement dated 12-31-2011.
- Employee Stock Option. The option is fully vested.
- Stock option granted under the 2004 Stock Incentive Plan. The options (15,000 in the original grant) vest in annual installments of 20% each beginning January 18, 2012.
- Stock option granted under the 2004 Stock Incentive Plan. The options (20,000 in the original grant) vest in annual installments of 20% each beginning January 17, 2013.
Billionaire Hedge Funds
