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
- This form reflects increases in beneficial ownership resulting from exempt acquisitions under a KSOP plan pursuant to rule 16b-3(c).
- Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest in three annual installments commencing on October 26, 2012.
- 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.
- Stock Options granted pursuant to the Pulaski Financial Corp. 2002 Stock Option Plan are fully vested and exercisable.
- Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.
- 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.