Filing Details
- Accession Number:
- 0001225208-13-022082
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-21 10:11:14
- Reporting Period:
- 2013-09-23
- Filing Date:
- 2013-10-21
- Accepted Time:
- 2013-10-21 10:11:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1062438 | Pulaski Financial Corp | PULB | Savings Institution, Federally Chartered (6035) | 431816913 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1448438 | G Cheri Bliefernich | 12300 Olive Boulevard St. Louis MO 63141 | Executive 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 | Disposition | 2013-09-23 | 7,595 | $10.73 | 4,245 | No | 4 | S | Indirect | By KSOP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By KSOP |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,256 | Direct | |
| Common Stock | 1,000 | Indirect | By Stock Award II |
| Common Stock | 2,023 | Indirect | By Stock Award III |
| Common Stock | 15,000 | Indirect | By Stock Award IV |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $13.33 | 2005-01-28 | 2014-01-28 | 1,500 | 1,500 | Direct |
| Common Stock | Stock Option (right to buy) | $16.50 | 2007-02-23 | 2016-02-23 | 3,000 | 3,000 | Direct |
| Common Stock | Stock Option (right to buy) | $10.95 | 2009-03-13 | 2018-03-13 | 10,000 | 10,000 | Direct |
| Common Stock | Stock Option (right to buy) | $7.70 | 2009-11-03 | 2018-11-03 | 12,500 | 12,500 | Direct |
| Common Stock | Stock Option (right to buy) | $13.33 | 2005-12-16 | 2014-12-16 | 1,500 | 1,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-01-28 | 1,500 | 1,500 | Direct |
| 2016-02-23 | 3,000 | 3,000 | Direct |
| 2018-03-13 | 10,000 | 10,000 | Direct |
| 2018-11-03 | 12,500 | 12,500 | Direct |
| 2014-12-16 | 1,500 | 1,500 | Direct |
Footnotes
- This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to rule 16b-3(c).
- Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest in three annual installments commencing on December 15, 2011.
- Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest in three annual installments commencing on October 26, 2012.
- Stock Awards granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan vest as follows: 25% on the date the Form 10-K is filed for the year ended September 30, 2012, 25% on the date the Form 10-K is filed for the year ended September 30, 2013 and 50% on the date the Form 10-K is filed for the year ended September 30,2014, assuming, in each case, achievement of certain performance objectives and, if applicable, any restriction arising from the Company's participation under the Troubled Asset Relief Program's Capital Purchase Program.
- Stock Options granted pursuant to the Pulaski Financial Corp. 2002 Stock Option Plan are fully vested and exercisable.
- Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.
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