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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | (3) | 01/18/2008 | A | 1,677.987 (4) | (5) | (5) | Common | 1,677.987 | $ 0 | 4,764.47 | D | ||||
Stock Option (Right to buy) | $ 14.77 | 01/22/2008 | A | 6,818 | (6) | 01/22/2018 | Common | 6,818 | $ 0 | 6,818 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MATTHEWS PHILIP D 180 SOUTH LAKE AVENUE #540 PASADENA, CA 91101 |
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By: /s/ Christopher J. Bellavia, Attorney-in-Fact | 01/23/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Upon the vesting of restricted stock, the Reporting Person deferred the receipt of the shares of common stock into the Washington Mutual Deferred Compensation Plan ("DCP"). As a result, the Reporting Person is reporting the disposition of shares of common stock to the Issuer pursuant to the DCP. |
(2) | Grant of restricted stock pursuant to the Washington Mutual, Inc. Amended and Restated 2003 Equity Incentive Plan. |
(3) | Converts to common stock on a one-for-one basis. |
(4) | WM phantom stock shares acquired under the Washington Mutual, Inc. Deferred Compensation Plan through deferral of vested restricted stock. |
(5) | WM phantom stock value distributed upon payment commencement date selected by the Reporting Person. |
(6) | Grant of option pursuant to the Washington Mutual, Inc. Amended and Restated 2003 Equity Incentive Plan; including predecessor plans. Option vests on the first anniversary of the grant date. |