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5//SEC Filing

HERLACHE THOMAS L 5

Accession 0001181431-10-006569

CIK 0000275119other
View on SEC.govCompany Profile

Filed

Feb 3, 7:00 PM ET

Accepted

Feb 4, 11:28 AM ET

Size

19.4 KB

Accession

0001181431-10-006569

Insider Transaction Report

Form 5
Period: 2009-12-31
BAYLAKE CORPBYLK
HERLACHE THOMAS L
Director
Transactions
  • Gift

    Common Stock

    2009-12-17−100→ 20,553 total
  • Gift

    Common Stock

    2009-12-17−67→ 20,486 total
  • Gift

    Common Stock

    2009-12-17−100→ 20,753 total
  • Gift

    Common Stock

    2009-12-17−100→ 21,053 total
  • Gift

    Common Stock

    2009-12-17−100→ 20,953 total
  • Gift

    Common Stock

    2009-12-17−100→ 20,853 total
  • Gift

    Common Stock

    2009-12-17−100→ 20,653 total
Holdings

  • 10% Convertible Promissory Notes due 2017

    (indirect: By IRA)
    Exercise: $5.00Exp: 2017-06-30→ Common Stock (10,000 underlying)

  • Common Stock

    2,994

  • Common Stock

    (indirect: By IRA)
    74,052.272

  • Common Stock

    1,406

  • Common Stock

    (indirect: By Trust)
    14,520
Footnotes (7)
  • [F1]Gift to grandchildren exempt from mandatory current Form 4 reporting but are not exempt from Section 16 and therefore are subject to deferred reporting on Form 5
  • [F2]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, and repurchases or reclassifications, as described in the security.
  • [F3]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.
  • [F4]June 30, 2017, is the stated maturity date of the convertible promissory notes.
  • [F5]Gifted stock was held in TLH Trust Account
  • [F6]Joint Account with wife
  • [F7]Held in direct individual account

Documents

1 file

Issuer

BAYLAKE CORP

CIK 0000275119

→
Entity typeother

Related Parties

1
  • filerCIK 0001254915

Filing Metadata

Form type
5
Filed
Feb 3, 7:00 PM ET
Accepted
Feb 4, 11:28 AM ET
Size
19.4 KB
View on SEC.gov