SEC Form 4 · accession 0001140361-15-034007
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Bruss
Officer — COO General Counsel
Period of report
Aug 28, 2015
Accepted (ET)
Sep 1, 2015 · 12:29 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 | Aug 28, 2015 | S | 800 | $12.6012 | D | 41,885 | D | |
| Common Stock | holding | — | — | — | 27,961 | I | By ESOP | |
| Common Stock | holding | — | — | — | 12,478 | I | By 401(k) plan | |
| Common Stock | holding | — | — | — | 21 | I | By Custodian |
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 | 54,865 | 54,865 | D |
| Stock Options | $1.73 | holding | — | — | — | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 38,405 | 38,405 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 30,000 | 30,000 | D |