Filing Details
- Accession Number:
- 0001209191-11-026593
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-06 16:13:38
- Reporting Period:
- 2011-05-04
- Filing Date:
- 2011-05-06
- Accepted Time:
- 2011-05-06 15:13:38
- 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 |
---|---|---|---|---|---|---|---|
1230049 | Terry P Anderegg | 4949 West Brown Deer Rd. Milwaukee WI 53224 | Senior Vice President | 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 | Acquisiton | 2011-05-04 | 39,314 | $3.21 | 72,005 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-05-04 | 32,691 | $3.86 | 39,314 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2011-05-06 | 125,772 | $3.21 | 165,086 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-05-06 | 125,772 | $3.75 | 39,314 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Option to buy | Disposition | 2011-05-04 | 39,314 | $3.21 | 125,772 | $3.21 |
Common Stock | Option to buy | Disposition | 2011-05-06 | 125,772 | $3.21 | 0 | $3.21 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
125,772 | 2011-05-08 | No | 4 | M | Direct | |
0 | 2011-05-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 23,343 | Indirect | Self Directed IRA |
Common Stock | 34,449 | Indirect | Held in ESOP |
Common Stock | 34,975 | Indirect | Held in 401(k) |
Common Stock | 3,297 | Indirect | Held in BNRP 401(k) |
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 | 100,000 | 100,000 | Direct | |
Common Stock | Option to buy | $5.05 | 2021-01-18 | 15,000 | 15,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-05-03 | 100,000 | 100,000 | Direct |
2021-01-18 | 15,000 | 15,000 | Direct |
Footnotes
- Held in the Bank Mutual Corpration ESOP Plan. The information presented is based on the Plan statement dated 12-31-2009.
- Held in the Bank Mutual Corporation 401(k) Plan. The information presented is based on a Plan statement dated 12-31-2010.
- 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 a Plan statement dated 12-31-2009.
- 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.