SEC Form 4 · accession 0000939057-15-000288
PROVIDENT FINANCIAL HOLDINGS INC · PROV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lilian Brunner-Salter
Officer — SVP & CIO
Period of report
May 20, 2015
Accepted (ET)
May 21, 2015 · 2:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001010470
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01F1 | May 20, 2015 | M | 9,000 | $7.03 | A | 47,076 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF2 | $7.03 | May 20, 2015 | M | 9,000 | D | Aug 7, 2011 | Aug 7, 2018 | Common Stock | 9,000 | 45,500 | D |
Explanation of responses
- F1The ownership of 47,076 shares includes the 12,500 share restricted stock award granted on September 30, 2014 from the 2010 Equity Incentive Plan with 6,250 shares vesting on September 30, 2016 and 6,250 shares vesting on September 30, 2018; the 5,000 shares from the restricted stock award granted on June 20, 2011 from the 2010 Equity Incentive Plan vesting on June 20, 2015; and, indirect ownership of 7,396 shares in Ms. Salter's Employee Stock Ownership Plan account.
- F2Includes 37,500 options granted under the Provident 2010 Equity Incentive Plan and 8,000 options granted under the Provident 2006 Equity Incentive Plan.