-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CbUqJBxMxpirto7UnJUCL8KqQtqCXtKnps0wySXap42ysY5QG2tMk4fLzC5fbaDi RLRrptsNdY3jwPnmra/bNw== 0000891020-99-000219.txt : 19990215 0000891020-99-000219.hdr.sgml : 19990215 ACCESSION NUMBER: 0000891020-99-000219 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WASHINGTON MUTUAL INC CENTRAL INDEX KEY: 0000933136 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 911653725 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-14667 FILM NUMBER: 99537232 BUSINESS ADDRESS: STREET 1: 1201 THIRD AVENUE STREET 2: SUITE 1500 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2064612000 MAIL ADDRESS: STREET 1: 1201 THIRD AVE STREET 2: SUITE 1500 CITY: SEATTLE STATE: WA ZIP: 98101 COMPANY DATA: COMPANY CONFORMED NAME: TALL CRAIG E CENTRAL INDEX KEY: 0001056174 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: WASHINGTON MUTUAL INC STREET 2: 1201 THIRD AVE WMT 1503 CITY: SEATTLE STATE: WA ZIP: 98111 BUSINESS PHONE: 2064612511 MAIL ADDRESS: STREET 1: WASHINGTON MUTUAL INC STREET 2: 1201 THIRD AVE WMT 1503 CITY: SEATTLE STATE: WA ZIP: 98111 5 1 FORM 5 1 ------------------------------ - ------ OMB APPROVAL FORM 5 ------------------------------ - ------ OMB Number: 3235-0364 Expires: September 30, 1998 Estimated average burden hours per response ....... 1.0 ------------------------------ [ ] Check box if no U.S. SECURITIES AND EXCHANGE COMMISSION longer subject to WASHINGTON, DC 20549 Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b) Exchange Act of 1934, [ ] Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of [ ] Form 4 the Investment Company Act Transactions of 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Tall Craig E. Washington Mutual, Inc. ("WM") Issuer (Check all applicable) - ------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- 1201 Third Avenue Number of Reporting Month/Year X Officer (give Other (specify - ------------------------------------------- Person (Voluntary) 12/31/98 ---- title --- below) (Street) ------------------- below) Seattle WA 98101 5. If Amendment, Executive Vice President - ------------------------------------------- Date of Original ------------------------------- (City) (State) (Zip) (Month/Year) 7. Individual or Joint/Group Filing ------------------ (Check applicable line) X Form Filed by One ---- Reporting Person Form Filed by more than ---- One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ ---------------------------- Indirect Owner- Year) Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10/30/98 M 2,092 A $15.1667 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10/30/98 M 7,429 A $13.4587 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10/30/98 M 3,602 A $18.5000 239,426.72(1) D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 47,979,471(2) I RSIP - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) SEC 2270 (7/96) (Print or Type Responses)
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FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or --------------- Exer- tion Title Number of (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) $32.875 12/15/98 A 110,000 12/15/99 12/15/08 Common 110,000 (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) $15.1667 10/30/98 M 2,092 Common 2,092 Stock - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) $13.4587 10/30/98 M 7,429 Common 7,429 Stock - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) $18.5000 10/30/98 M 3,602 Common 3,602 Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------- 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative of Derivative Indirect (Instr. 3) Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Month (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- 110,000(3) D - ------------------------------------------------------------------------------------------------------- 0(4) D - ------------------------------------------------------------------------------------------------------- 0(5) D - ------------------------------------------------------------------------------------------------------- 0(6) D - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) The end-of-month total includes 140.9 shares in the second quarter and 194.99 shares in the third quarter acquired through reinvested dividends in the Washington Mutual ("WM") Restricted Stock Plan. (2) The end-of-month total includes 136.7473 shares in the second quarter and 248.7463 shares in the third quarter acquired through reinvested dividends in the WM Retirement Savings & Investment Plan, as well as an adjustment of (39.0805) shares. (3) Grant of option pursuant to the WM 1994 Stock Option Plan (as amended and restated as of February 17, 1998). One-third vests annually beginning on the first anniversary of the grant date. (4) The reporting person was granted options to acquire 6,592 shares at $15.1667 per share on February 15, 1994. One third became exercisable on each of the first three anniversaries of the date of grant. The exercise price, the number of options exercised and the end of month total reported are as adjusted for the stock split. (5) The reporting person was granted options to acquire 7,429 shares at $13.4587 per share on February 21, 1995. One third became exercisable on each of the first three anniversaries of the date of grant. The exercise price, the number of options exercised and the end of month total reported are as adjusted for the stock split. (6) The reporting person was granted options to acquire 5,404 shares at $18.5000 per share on January 16, 1996. One third became exercisable on each of the first three anniversaries of the date of grant. The exercise price, the number of options exercised and the end of month total reported are as adjusted for the stock split. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Craig E. Tall 2/8/99 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note. File three copies of this form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure. SEC 2270 (3/91)
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