SEC Form 4 · accession 0001140361-16-070730
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Raymond Gerke
Officer — Senior VP / CFO
Period of report
Jun 21, 2016
Accepted (ET)
Jun 24, 2016 · 11:19 am 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 StockF1 | Jun 21, 2016 | A | 20,000 | $0.00 | A | 37,207 | D | |
| Common Stock | Jun 22, 2016 | F | 1,518 | $15.13 | D | 35,689 | D | |
| Common Stock | holding | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $14.98 | Jun 21, 2016 | A | 10,000 | A | Jun 21, 2016 | Jun 20, 2026 | Common Stock | 10,000 | 10,000 | D |
| Stock Options | $16.11 | holding | — | — | — | Jan 27, 2014 | Jan 5, 2017 | Common Stock | 8,229 | 8,229 | D |
| Employee Stock Option (right to buy) | $1.73 | holding | — | — | — | Jan 27, 2014 | Jan 4, 2022 | Common Stock | 3,292 | 3,292 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Represents shares of restricted stock that vest at a rate of 20% per year commencing on June 21, 2016.
- F2Represents stock options that vest at a rate of 20% per year commencing June 21, 2016.