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Filing Details

Accession Number:
0001437749-14-016411
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-03 13:31:23
Reporting Period:
2014-08-29
Filing Date:
2014-09-03
Accepted Time:
2014-09-03 12:31:23
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
1387297 J David Miller 217 N 4Th Ave
Sturgeon Bay WI 54235
Chief Credit Officer/svp 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 2014-08-29 5,000 $12.50 5,000 No 4 S Indirect By Baylake Bank 401K Plan FBO David Miller
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Baylake Bank 401K Plan FBO David Miller
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 13,436 Direct
Common Stock 452 Indirect By Son, Matt
Common Stock 369 Indirect By Daughter, Courtney
Common Stock 210 Indirect As custodian for child, Travis
Common Stock 2,500 Indirect By IRA
Restricted Stock Units 3,141 Direct
Restricted Stock Units 4,711 Direct
Restricted Stock Units 2,794 Direct
Restricted Stock Units 1,115 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 7,853 7,853 Direct
Common Stock Stock Options $6.20 2022-04-01 7,853 7,853 Direct
Common Stock Stock Options $9.50 2023-03-19 4,288 4,288 Direct
Common Stock Stock Options $13.90 2024-03-18 4,755 4,755 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-03-15 7,853 7,853 Direct
2022-04-01 7,853 7,853 Direct
2023-03-19 4,288 4,288 Direct
2024-03-18 4,755 4,755 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.