SEC Form 4 · accession 0000939057-18-000101

PROVIDENT FINANCIAL HOLDINGS INC · PROV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman and CEO · Director

Period of report

Mar 13, 2018

Accepted (ET)

Mar 13, 2018 · 6:37 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^F1	Mar 13, 2018	M	29,000	$7.03	A	202,259	D
Common Stock, Par Value $0.01^F2	Mar 13, 2018	S	17,000	$18.35	D	185,259	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Common Stock^F3	$7.03	Mar 13, 2018	M	29,000	D	Aug 7, 2011	Aug 7, 2018	Common Stock	29,000	91,000	D

F1Mr. Blunden exercised 29,000 options to acquire 29,000 shares of common stock under Provident's 2006 Equity Incentive Plan which vested on August 7, 2011.
F2Ownership of 185,259 shares includes the 15,000 share restricted stock awarded on September 30, 2014 from the 2010 Equity Incentive Plan which vests on September 30, 2018; and, indirect ownership of 29,568 shares in Mr. Blunden's Employee Stock Ownership Plan account.
F3Mr. Blunden has previously been granted 43,000 options to acquire 43,000 share of common stock under Provident's 2010 Equity Incentive Plan. Fifty percent of the grant vests on September 30, 2016, fifty percent of the grant vests on September 30, 2018, and the entire grant expires on September 30, 2024. Also, Mr. Blunden has previously been granted 48,000 options to acquire 48,000 shares of common stock under Provident' s 2010 Equity Incentive Plan. Fifty percent of the grant vests on June 20, 2013, fifty percent of the grant vests on June 20, 2015, and the entire grant expires on June 20, 2021.