SEC Form 4 · accession 0000939057-16-000982
PROVIDENT FINANCIAL HOLDINGS INC · PROV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judy A Carpenter
Director
Period of report
Aug 31, 2016
Accepted (ET)
Sep 1, 2016 · 3:52 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 | Aug 31, 2016 | M | 1,000 | $16.47 | A | 3,200 | 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 | $16.47 | Aug 31, 2016 | M | 1,000 | D | Dec 20, 2014 | Dec 20, 2022 | Common Stock | 1,000 | 39,000 | D |
Explanation of responses
- F1The total ownership of 3,200 shares includes 1,000 shares in Ms. Carpenter's employer sponsored 401(k) plan account.
- F2Comprised of 19,000 options granted under the Provident 2010 Equity Incentive Plan and 20,000 options granted under the Provident 2013 Equity Incentive Plan.