SEC Form 4 · accession 0001140361-16-057137
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Raymond Gerke
Officer — CFO
Period of report
May 29, 2015
Accepted (ET)
Mar 9, 2016 · 2:59 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 Stock | May 29, 2015 | M | 9,875 | $1.73 | A | 15,915 | D | |
| Common Stock | Mar 1, 2016 | M | 3,292 | $1.73 | A | 19,207 | D | |
| Common Stock | Mar 7, 2016 | S | 315 | $14.0201 | D | 18,892 | D | |
| Common Stock | Mar 7, 2016 | S | 518 | $14.03 | D | 18,374 | D | |
| Common Stock | Mar 7, 2016 | S | 682 | $14.04 | D | 17,692 | D | |
| Common Stock | Mar 7, 2016 | S | 485 | $14.05 | D | 17,207 | D | |
| Common Stock | Dec 31, 2015 | A | 2,034 | $14.10 | A | 14,464 | I | By ESOP |
| Common Stock | holding | — | — | — | 1,199 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.73 | May 29, 2015 | M | 9,875 | D | Jan 27, 2014 | Jan 4, 2022 | Common Stock | 9,875 | 6,548 | D |
| Employee Stock Option (right to buy) | $1.73 | Mar 1, 2016 | M | 3,292 | D | Jan 27, 2014 | Jan 4, 2022 | Common Stock | 3,292 | 3,292 | D |
| Stock Options | $16.11 | holding | — | — | — | Jan 27, 2014 | Jan 5, 2017 | Common Stock | 8,229 | 8,229 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 10,000 | 10,000 | D |