SEC Form 4 · accession 0000939057-16-001034
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
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 10:29 am 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 | Oct 7, 2016 | M | 9,000 | $7.43 | A | 53,810 | 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 | $7.43 | Oct 7, 2016 | M | 9,000 | D | Jun 20, 2013 | Jun 20, 2021 | Common Stock | 9,000 | 36,500 | D |
Explanation of responses
- F1The ownership of 53,810 shares includes 6,250 shares from the restricted stock award granted on September 30, 2014 and vesting on September 30, 2018; and, indirect ownership of 7,948 shares in Ms. Salter's Employee Stock Ownership Plan account.
- F2Includes 28,500 options granted under the Provident 2010 Equity Incentive Plan and 8,000 options granted under the Provident 2006 Equity Incentive Plan.