-----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, NdJtCXV8KoBxCZnE7VLhja5seS5c/obxhZX1vLB+DtaoQ75RKH1UOTuHVuXry2TT weRbqyXahO+Y/9Du3YKxDg== 0000891020-99-000220.txt : 19990215 0000891020-99-000220.hdr.sgml : 19990215 ACCESSION NUMBER: 0000891020-99-000220 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: 99537236 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: SWICK NORMAN H CENTRAL INDEX KEY: 0001057036 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: C/O WASHINGTON MUTUAL INC STREET 2: 1201 THIRD AVE, WMT 1503 CITY: SEATTLE STATE: WA ZIP: 98111 BUSINESS PHONE: 2064615822 MAIL ADDRESS: STREET 1: C/O WASHINGTON MUTUAL INC STREET 2: 1201 THIRD AVE , WMT 1503 CITY: SEATTLE STATE: WA ZIP: 98111 5 1 FORM 5 1 - ------ --------------------------------- FORM 5 OMB APPROVAL - ------ --------------------------------- OMB Number 3236-0362 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, Section 17(a) of the [ ] Form 3 Holdings Public Utility Holding Company Act of 1935 or Reported Section 30(f) of the Investment Company Act [ ] Form 4 the Investment Company Act of 1940 Transactions Reported
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Swick Norman H. Washington Mutual, Inc. ("WM") Issuer (Check all applicable) (Last) (First) (Middle) ---------------------------------------------- Director 10% Owner - ------------------------------------------- 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) --- below) (Street) ------------------- Senior Vice President & Chief Seattle WA 98101 5. If Amendment, Risk Officer - ------------------------------------------- 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 (Month/ (Instr. 8) End of Month Direct Benefi- Day/ (Instr. 3 and 4) (D) or cial Year) ---------------------------------------- Indirect Owner- Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/21/98 G 400 D 81,921.1063(1) D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/21/98 G 400 A 1,000 I N/O Children - ------------------------------------------------------------------------------------------------------------------------------------ 17,337.2225(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) (Print or Type Responses) SEC 2270 (7/96)
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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 12/15/99 12/15/08 Common (Right bo Buy) $32.875 12/15/98 A 20,000 (3) Stock 20,000 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership Form 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) - ------------------------------------------------------------------------------------------------------- Stock Option (Right to Buy) 20,000(3) D - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) The end-of-month total includes 47.33 shares in the second quarter, 65.49 shares in the third quarter and 69.68 shares in the fourth quarter acquired through reinvested dividends in the Washington Mutual ("WM") Restricted Stock Plan. Also includes a contribution of 684.7050 shares and a fourth quarter dividend of 4.0954 shares in the WM Employee Stock Purchase Plan. (2) The end-of-month total includes 35.3477 shares in the second quarter, 64.3480 shares in the third quarter and 76.5720 shares in the fourth quarter acquired through reinvested dividends in the WM Retirement Savings & Investment Plan, as well as a contribution of 400 shares in each of the third and fourth quarters and an adjustment of (0.5664) shares and 16.7865 shares in the third and fourth quarters, respectively. (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. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Norman H. Swick 2/12/99 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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