Filing Details
- Accession Number:
- 0001181431-12-005534
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-03 10:42:08
- Reporting Period:
- 2012-02-02
- Filing Date:
- 2012-02-03
- Accepted Time:
- 2012-02-03 10:42:08
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
275119 | Baylake Corp | BYLK | State Commercial Banks (6022) | 391268055 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1256643 | J Robert Cera | Po Box 9 217 North Fourth Avenue Sturgeon Bay WI 54235-0009 | Chief Executive Officer | 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 | 2012-02-02 | 1,700 | $5.70 | 19,450 | No | 4 | P | Indirect | By IRA |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By IRA |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 9,000 | Direct | |
Common Stock | 951 | Indirect | By ESPP |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | 10% Convertible Promissory Notes due 2017 | $5.00 | 2017-06-30 | 10,000 | 0 | Indirect | |
Common Stock | 10% Convertible Promissory Notes due 2017 | $5.00 | 2017-06-30 | 15,000 | 0 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-06-30 | 10,000 | 0 | Indirect |
2017-06-30 | 15,000 | 0 | Indirect |
Footnotes
- The convertible promissory note is convertible into shares of common stock at a conversion ratio of one share of common stock for each $5.00 in aggregate principal amount held on the record date of the conversion, subject to adjustment for stock dividends, stock-splits, repurchases or reclassifications, as described in the security.
- The holder of the convertible promissory note may, at the option of the holder, convert up to the full principal amount of the convertible promissory notes into shares of common stock at any time prior to redemption or maturity. On October 1, 2014, up to one-half of the original principal amount of the convertible promissory note will automatically convert into shares of common stock.
- June 30, 2017 is the stated maturity date of the convertible promissory notes.