SEC Form 4 · accession 0001140361-16-077639
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael L Hansen
Director
Period of report
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 4:27 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 19, 2016 | M | 54,865 | $16.11 | A | 134,737 | D | |
| Common Stock | Aug 19, 2016 | S | 6,571 | $16.65 | D | 128,166 | D | |
| Common Stock | Aug 19, 2016 | S | 1,500 | $16.66 | D | 126,666 | D | |
| Common Stock | Aug 19, 2016 | S | 200 | $16.67 | D | 126,466 | D | |
| Common Stock | Aug 19, 2016 | S | 100 | $16.68 | D | 126,366 | D | |
| Common Stock | Aug 19, 2016 | S | 2,515 | $16.69 | D | 123,851 | D | |
| Common Stock | Aug 19, 2016 | S | 100 | $16.695 | D | 123,751 | D | |
| Common Stock | Aug 19, 2016 | S | 571 | $16.72 | D | 123,180 | D | |
| Common Stock | Aug 22, 2016 | S | 10,964 | $16.60 | D | 112,216 | D | |
| Common Stock | Aug 22, 2016 | S | 2,400 | $16.61 | D | 109,816 | D | |
| Common Stock | Aug 22, 2016 | S | 906 | $16.62 | D | 108,910 | D | |
| Common Stock | Aug 22, 2016 | S | 727 | $16.625 | D | 108,183 | D | |
| Common Stock | Aug 22, 2016 | S | 520 | $16.63 | D | 107,663 | D | |
| Common Stock | Aug 22, 2016 | S | 2,240 | $16.635 | D | 105,423 | D | |
| Common Stock | Aug 22, 2016 | S | 2,095 | $16.64 | D | 103,328 | D | |
| Common Stock | Aug 22, 2016 | S | 2,608 | $16.645 | D | 100,720 | D | |
| Common Stock | Aug 22, 2016 | S | 5,929 | $16.65 | D | 94,791 | D | |
| Common Stock | Aug 22, 2016 | S | 145 | $16.66 | D | 94,646 | D | |
| Common Stock | Aug 22, 2016 | S | 226 | $16.675 | D | 94,420 | D | |
| Common Stock | Aug 22, 2016 | S | 200 | $16.69 | D | 94,220 | D | |
| Common Stock | Aug 22, 2016 | S | 600 | $16.695 | D | 93,620 | D | |
| Common Stock | Aug 22, 2016 | S | 416 | $16.70 | D | 93,204 | D | |
| Common Stock | Aug 22, 2016 | S | 642 | $16.71 | D | 92,562 | D | |
| Common Stock | Aug 22, 2016 | S | 100 | $16.715 | D | 92,462 | D | |
| Common Stock | Aug 22, 2016 | S | 1,500 | $16.72 | D | 90,962 | D | |
| Common Stock | Aug 22, 2016 | S | 3,000 | $16.73 | D | 87,962 | D | |
| Common Stock | Aug 22, 2016 | S | 900 | $16.735 | D | 87,062 | D | |
| Common Stock | Aug 22, 2016 | S | 400 | $16.74 | D | 86,662 | D | |
| Common Stock | Aug 22, 2016 | S | 1,185 | $16.745 | D | 85,477 | D | |
| Common Stock | holding | — | — | — | 186,541 | 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 Options | $16.11 | Aug 19, 2016 | M | 54,865 | D | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 0 | 0 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 100,000 | 100,000 | D |