SEC Form 4 · accession 0001140361-15-010473
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas S Gordon
Officer — CEO · Director
Period of report
Mar 4, 2015
Accepted (ET)
Mar 5, 2015 · 3:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001569994
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 4, 2015 | A | 250,000 | $0.00 | A | 463,090 | D | |
| Common Stock | Dec 31, 2014 | A | 3,774 | $13.15 | A | 23,559 | I | By ESOP |
| Common Stock | holding | — | — | — | 22,503 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $12.75 | Mar 4, 2015 | A | 150,000 | A | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 150,000 | 150,000 | D |
| Stock Options | $16.11 | holding | — | — | — | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 274,325 | 274,325 | D |
Explanation of responses
- F1Represents shares of restricted stock that vest at a rate of 20% per year commencing on March 6, 2015.
- F2Represents stock options that vest at a rate of 20% per year commencing on March 4, 2016.