SEC Form 4 · accession 0001140361-15-029106
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca M Arndt
Officer — Vice President
Period of report
Jul 27, 2015
Accepted (ET)
Jul 30, 2015 · 2:58 pm EDT
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 Stock | Jul 27, 2015 | S | 1,000 | $13.00 | D | 39,780 | D | |
| Common Stock | Jul 29, 2015 | S | 100 | $13.02 | D | 39,680 | D | |
| Common Stock | Jul 29, 2015 | S | 1,600 | $13.0001 | D | 38,080 | D | |
| Common Stock | holding | — | — | — | 17,249 | I | By ESOP | |
| Common Stock | holding | — | — | — | 19,998 | I | By 401(k) plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $16.11 | holding | — | — | — | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 27,432 | 27,432 | D |
| Stock Options | $1.73 | holding | — | — | — | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 13,168 | 13,168 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,000 | 15,000 | D |