SEC Form 4 · accession 0001140361-16-077414
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas S Gordon
Officer — CEO
Period of report
Aug 18, 2016
Accepted (ET)
Aug 22, 2016 · 3:43 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 | Mar 6, 2015 | F | 16,641 | $12.72 | D | 446,449 | D | |
| Common Stock | Mar 7, 2016 | F | 16,648 | $14.02 | D | 429,801 | D | |
| Common Stock | Aug 18, 2016 | M | 243,277 | $16.11 | A | 673,078 | D | |
| Common Stock | Aug 18, 2016 | F | 232,318 | $16.87 | D | 440,760 | D | |
| Common Stock | Dec 31, 2015 | A | 3,402 | $14.10 | A | 26,961 | 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 Appreciation Rights | $16.11 | Aug 18, 2016 | M | 243,277 | D | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 243,277 | 31,048 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 150,000 | 150,000 | D |