SEC Form 4 · accession 0000939057-18-000400
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 1, 2018
Accepted (ET)
Aug 2, 2018 · 5:53 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 1, 2018 | M | 1,000 | $14.59 | A | 5,200 | 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 | $14.59 | Aug 1, 2018 | M | 1,000 | D | Sep 30, 2016 | Sep 30, 2024 | Common Stock | 1,000 | 38,000 | D |
Explanation of responses
- F1The total ownership of 5,200 shares includes 500 shares from the restricted stock award of January 9, 2017 with the shares vesting on January 9, 2019; and 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 19,000 options granted under the Provident 2013 Equity Incentive Plan.