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Filing Details

Accession Number:
0001181431-14-016985
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-28 15:37:58
Reporting Period:
2014-04-24
Filing Date:
2014-04-28
Accepted Time:
2014-04-28 15:37:58
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
1255079 A John Hauser 217 N 4Th Ave
Sturgeon Bay WI 54235-2405
Senior 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 Acquisiton 2014-04-24 2,000 $12.90 6,869 No 4 P Indirect By IRA
Common Stock Disposition 2014-04-24 600 $12.75 4,259 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By IRA
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Restricted Stock Units 1,554 Direct
Restricted Stock Units 2,331 Direct
Restricted Stock Units 1,911 Direct
Restricted Stock Units 750 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options $4.15 2021-03-15 3,885 3,885 Direct
Common Stock Stock Options $6.20 2022-04-01 3,885 3,885 Direct
Common Stock Stock Options $9.50 2023-03-19 2,932 2,932 Direct
Common Stock Stock Options $13.90 2024-03-18 3,198 3,198 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-03-15 3,885 3,885 Direct
2022-04-01 3,885 3,885 Direct
2023-03-19 2,932 2,932 Direct
2024-03-18 3,198 3,198 Direct
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.