Amended Statement of Changes in Beneficial Ownership (4/a)
26 Janeiro 2018 - 3:58PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Crowley Michael T Jr
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2. Issuer Name
and
Ticker or Trading Symbol
BANK MUTUAL CORP
[
BKMU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
4949 WEST BROWN DEER RD.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/22/2018
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(Street)
MILWAUKEE, WI 53223
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/24/2018
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/22/2018
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M
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15000
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A
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$5.05
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1586274
(1)
(2)
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D
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Common Stock
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1/22/2018
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M
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20000
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A
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$3.39
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1606274
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D
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Common Stock
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1/22/2018
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M
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12000
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A
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$4.82
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1618274
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D
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Common Stock
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1/22/2018
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M
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8000
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A
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$7.17
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1626274
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D
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Common Stock
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1/22/2018
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F
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23631
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D
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$10.95
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1602643
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D
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Common Stock
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217164
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I
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By Trust
(3)
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Common Stock
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141539
(1)
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I
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By Spouse
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Common Stock
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135657
(1)
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I
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By Trust
(4)
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Common Stock
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159858
(1)
(2)
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I
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By 401(k) Plan
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options to buy
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$5.05
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1/22/2018
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M
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15000
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(6)
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1/18/2021
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Common Stock
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15000
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(6)
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0
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D
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Options to buy
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$3.39
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1/22/2018
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M
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20000
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(6)
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1/17/2022
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Common Stock
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20000
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(6)
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0
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D
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Options to buy
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$4.82
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1/22/2018
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M
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12000
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(6)
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1/22/2023
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Common Stock
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12000
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(6)
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0
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D
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Options to buy
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$7.17
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1/22/2018
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M
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8000
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(7)
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1/21/2024
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Common Stock
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8000
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(7)
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2000
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D
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Explanation of Responses:
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(1)
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Includes shares acquired through a dividend reinvestment plan.
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(2)
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Reflects distributions from the Bank Mutual Corporation 401(k) Plan and Benefit Restoration Plan that are exempt from reporting.
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(3)
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Held as trustee (executor-equivalent) of a trust owning a corrected 441,269 shares of common stock. Mr. Crowley Jr. is a 50% beneficiary of the total assets in the trust. The reported shares exclude 224,105 shares held in the trust for the benefit of, and designated for distribution to, a member of Mr. Crowley Jr.'s family, as to which Mr. Crowley Jr. disclaims any pecuniary interest.
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(4)
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As trustee of a family trust.
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(5)
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Held in the Bank Mutual Corporation 401(k) Plan.
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(6)
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Stock options granted under the 2004 Stock Incentive Plan. The options are fully vested.
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(7)
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Stock options granted under the 2004 Stock Incentive Plan. The options (10,000 in the original grant) vest in annual installments of 20% each beginning January 21, 2015.
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Remarks:
This amended form is filed to correct software errors that resulted in an incorrect year in Box 3 and an incorrect starting amount of securities directly beneficially owned in column 5 of Table I.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Crowley Michael T Jr
4949 WEST BROWN DEER RD.
MILWAUKEE, WI 53223
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X
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Signatures
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/s/Michael T. Crowley, Jr.
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1/26/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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