SEC Form 4 · accession 0000939057-15-000321
PROVIDENT FINANCIAL HOLDINGS INC · PROV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Barr
Director
Period of report
Jun 16, 2015
Accepted (ET)
Jun 17, 2015 · 3:25 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 $0.01 | Jun 16, 2015 | S | 2,705 | $17.95 | D | 9,013 | D | |
| Common Stock, Par Value $0.01 | Jun 17, 2015 | M | 9,000 | $7.03 | A | 18,013 | D | |
| Common Stock, Par Value $0.01 | Jun 17, 2015 | M | 10,000 | $7.43 | A | 28,013 | D | |
| Common Stock, Par Value $0.01 | Jun 17, 2015 | S | 16,295 | $17.82 | D | 11,718 | 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 Stock | $7.03 | Jun 17, 2015 | M | 9,000 | D | Aug 7, 2011 | Aug 7, 2018 | Common Stock | 9,000 | 53,300 | D |
| Option to Purchase Common StockF1 | $7.43 | Jun 17, 2015 | M | 10,000 | D | Jun 20, 2013 | Jun 20, 2021 | Common Stock | 10,000 | 43,300 | D |
Explanation of responses
- F1Includes (a) 3,000 options granted under the Provident 2003 Stock Option Plan; (b) 10,300 options granted under the Provident 2006 Equity Incentive Plan; (c) 10,000 options granted under the Provident 2010 Equity Incentive Plan; and 20,000 options granted under the Provident 2013 Equity Incentive Plan.