- Statement of Changes in Beneficial Ownership (4)
April 28 2011 - 5:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Dowd Stephen
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2. Issuer Name
and
Ticker or Trading Symbol
CMS Bancorp, Inc.
[
CMSB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Senior VP and CFO
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(Last)
(First)
(Middle)
123 MAIN STREET, SUITE 750
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/26/2011
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(Street)
WHITE PLAINS, NY 10601
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.01 per share
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1/26/2011
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A
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885
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A
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$0.00
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12635
(1)
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D
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Common Stock, par value $0.01 per share
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4/27/2011
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A
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1250
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A
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$0.00
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13885
(2)
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D
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Common Stock, par value $0.01 per share
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3000
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I
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By IRA
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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$8.66
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4/27/2011
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A
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2500
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(3)
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4/27/2021
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Common Stock
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2500
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$0
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2500
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D
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Explanation of Responses:
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(
1)
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Includes a restricted stock award of 1,250 shares granted to the reporting person under the CMS Bancorp, Inc. 2007 Recognition and Retention Plan on November 23, 2009. The shares subject to this award vest in 20% increments on an annual basis, with the second installment scheduled to vest on November 23, 2011. Also includes a restricted stock award of 885 shares granted to the reporting person under the CMS Bancorp, Inc. 2007 Recognition and Retention Plan on January 26, 2011, which will vest in equal installments of 20% per year beginning on January 26, 2012.
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(
2)
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Includes a restricted stock award of 1,250 shares granted to the reporting person under the CMS Bancorp, Inc. 2007 Recognition and Retention Plan on November 23, 2009. The shares subject to this award vest in 20% increments on an annual basis, with the second installment scheduled to vest on November 23, 2011. Also includes a restricted stock award of 885 shares granted to the reporting person under the CMS Bancorp, Inc. 2007 Recognition and Retention Plan on January 26, 2011, which will vest in equal installments of 20% per year beginning on January 26, 2012. Also includes a restricted stock award of 1,250 shares granted to the reporting person under the CMS Bancorp, Inc. 2007 Recognition and Retention Plan on April 27, 2011, which will vest in equal installments of 20% per year beginning on April 27, 2012.
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(
3)
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Reflects a grant of stock options to the reporting person under the CMS Bancorp, Inc. 2007 Stock Option Plan on April 27, 2011, which will vest in equal installments of 20% per year beginning on April 27, 2012.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Dowd Stephen
123 MAIN STREET
SUITE 750
WHITE PLAINS, NY 10601
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Senior VP and CFO
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Signatures
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/s/ Stephen E. Dowd
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4/28/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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