SEC Form 4 · accession 0000939057-17-000402
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
Sep 21, 2017
Accepted (ET)
Sep 21, 2017 · 2:45 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 | Sep 21, 2017 | M | 11,000 | $7.43 | A | 56,239 | 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 | Sep 21, 2017 | M | 11,000 | D | Jun 20, 2013 | Jun 20, 2021 | Common Stock | 11,000 | 17,500 | D |
Explanation of responses
- F1The ownership of 56,239 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 8,377 shares in Ms. Salter's Employee Stock Ownership Plan account.
- F2Comprised of 17,500 options granted under the Provident 2010 Equity Incentive Plan.