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4//SEC Filing

BAYLAKE CORP 4

Accession 0001437749-15-000172

CIK 0000275119operating
View on SEC.govCompany Profile

Filed

Jan 4, 7:00 PM ET

Accepted

Jan 5, 3:23 PM ET

Size

17.9 KB

Accession

0001437749-15-000172

Insider Transaction Report

Form 4
Period: 2015-01-02
BAYLAKE CORPBYLK
ROSENGARTEN TERESA A
Executive Vice President
Transactions
  • Conversion

    Common Stock

    2015-01-02$5.00/sh+5,000$25,000→ 23,842 total
  • Conversion

    10% Convertible Promissory Notes due 2017

    2015-01-02→ 0 total
    Exercise: $5.00Exp: 2017-06-30→ Common Stock (5,000 underlying)
Holdings

  • Restricted Stock Units

    3,795

  • Restricted Stock Units

    1,338

  • Common Stock

    (indirect: By ESPP)
    701.632

  • Restricted Stock Units

    3,410

  • Stock Options

    Exercise: $9.50Exp: 2023-03-19→ Common Stock (5,233 underlying)
    5,233

  • Stock Options

    Exercise: $13.90Exp: 2024-03-18→ Common Stock (5,706 underlying)
    5,706

  • Stock Options

    Exercise: $4.15Exp: 2021-03-15→ Common Stock (9,488 underlying)
    9,488

  • Restricted Stock Units

    5,692
Footnotes (11)
  • [F1]The aggregate restricted stock units were granted on 3/15/2011 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
  • [F10]The aggregate stock options were granted on 3/19/2013 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the stock options are convertible into shares of common stock at the discretion of the holder.
  • [F11]The aggregate stock options were granted on 3/18/2014 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the stock options are convertible into shares of common stock at the discretion of the holder.
  • [F2]The aggregate restricted stock units were granted on 4/1/2012 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
  • [F3]The aggregate restricted stock units were granted on 3/19/2013 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
  • [F4]The aggregate restricted stock units were granted on 3/18/2014 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the restricted stock units are converted into shares of common stock under direct ownership of the holder.
  • [F5]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.
  • [F6]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.
  • [F7]June 30, 2017, is the stated maturity date of the convertible promissory notes.
  • [F8]The aggregate stock options were granted on 3/15/2011 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the stock options are convertible into shares of common stock at the discretion of the holder.
  • [F9]The aggregate stock options were granted on 4/1/2012 and vest annually pro rata over a five year period on the first through fifth anniversaries of the grant date. Upon the vesting date, the stock options are convertible into shares of common stock at the discretion of the holder.

Documents

1 file

Issuer

BAYLAKE CORP

CIK 0000275119

→
Entity typeoperating
IncorporatedWI

Related Parties

1
  • filerCIK 0000275119

Filing Metadata

Form type
4
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 3:23 PM ET
Size
17.9 KB
View on SEC.gov