Filing Details

Accession Number:
0001225208-14-004910
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-18 15:25:09
Reporting Period:
2014-02-14
Filing Date:
2014-02-18
Accepted Time:
2014-02-18 15:25:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1062438 Pulaski Financial Corp PULB Savings Institution, Federally Chartered (6035) 431816913
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1452827 J Brian Bjorkman 12300 Olive Boulevard
St. Louis MO 63141
President - Commercial Lending No 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 Disposition 2014-02-14 47 $10.51 32,594 No 4 S Direct
Common Stock Disposition 2014-02-14 200 $10.32 32,394 No 4 S Direct
Common Stock Disposition 2014-02-14 200 $10.29 32,194 No 4 S Direct
Common Stock Disposition 2014-02-14 353 $10.50 31,841 No 4 S Direct
Common Stock Disposition 2014-02-14 400 $10.38 31,441 No 4 S Direct
Common Stock Disposition 2014-02-14 500 $10.37 30,941 No 4 S Direct
Common Stock Disposition 2014-02-14 500 $10.25 30,441 No 4 S Direct
Common Stock Disposition 2014-02-14 600 $10.36 29,841 No 4 S Direct
Common Stock Disposition 2014-02-14 1,200 $10.28 28,641 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,181 Indirect By KSOP
Common Stock 1,770 Indirect By Stock Award III
Common Stock 33,750 Indirect By Stock Award IV
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (right to buy) $13.00 2006-01-27 2015-01-27 15,000 15,000 Direct
Common Stock Stock Option (right to buy) $17.25 2006-10-14 2015-10-14 10,000 10,000 Direct
Common Stock Stock Option (right to buy) $7.70 2009-11-03 2018-11-03 10,000 10,000 Direct
Common Stock Stock Option (right to buy) $11.13 2008-11-19 2017-11-19 50,000 50,000 Direct
Common Stock Stock pursuant to Deferred Compensation Agreement $0.00 65,577 65,577 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-01-27 15,000 15,000 Direct
2015-10-14 10,000 10,000 Direct
2018-11-03 10,000 10,000 Direct
2017-11-19 50,000 50,000 Direct
65,577 65,577 Direct
Footnotes
  1. This form reflects increases in beneficial ownership resulting from exempt acquisitions under a KSOP plan pursuant to rule 16b-3(c).
  2. Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest in three annual installments commencing on October 26, 2012.
  3. Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest as follows: 25% on the date the Form 10-K is filed for the year ended September 30, 2012, 25% on the date the Form 10-K is filed for the year ended September 30, 2013 and 50% on the date the Form 10-K is filed for the year ended September 30,2014, and in each case, only upon the achievement of certain of the Company's performance objectives including earnings performance and certain other common stock performance measures and, if applicable, any restriction arising from the Company's participation under the Troubled Asset Relief Program's Capital Purchase Program.
  4. Stock Options granted pursuant to the Pulaski Financial Corp. 2002 Stock Option Plan are fully vested and exercisable.
  5. Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.
  6. Each share pursuant to the Deferred Compensation Agreement is the economic equivalent of one share of common stock. The shares pursuant to the Deferred Compensation Agreement become payable, in shares of common stock, upon the reporting person's termination of employment.