SEC Form 4 · accession 0001140361-16-077819
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca M Arndt
Officer — Senior Vice President
Period of report
Aug 23, 2016
Accepted (ET)
Aug 25, 2016 · 2:56 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 23, 2016 | M | 27,432 | $16.11 | A | 67,099 | D | |
| Common Stock | Aug 23, 2016 | F | 26,228 | $16.85 | D | 40,871 | D | |
| Common Stock | holding | — | — | — | 19,633 | I | By ESOP | |
| Common Stock | holding | — | — | — | 19,976 | 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 Appreciation Rights | $16.11 | Aug 23, 2016 | M | 27,432 | D | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 27,432 | 0 | D |
| Employee Stock Option (right to buy) | $1.73 | holding | — | — | — | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 4,390 | 4,390 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,000 | 15,000 | D |