SEC Form 4 · accession 0001140361-16-077858
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Schmidt
Director
Period of report
Aug 24, 2016
Accepted (ET)
Aug 25, 2016 · 4:50 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 24, 2016 | M | 54,865 | $16.11 | A | 124,943 | D | |
| Common Stock | Aug 24, 2016 | S | 30,753 | $16.70 | D | 94,190 | D | |
| Common Stock | Aug 24, 2016 | S | 100 | $16.705 | D | 94,090 | D | |
| Common Stock | Aug 24, 2016 | S | 204 | $16.71 | D | 93,886 | D | |
| Common Stock | Aug 24, 2016 | S | 450 | $16.72 | D | 93,436 | D | |
| Common Stock | Aug 24, 2016 | S | 300 | $16.75 | D | 93,136 | D | |
| Common Stock | Aug 24, 2016 | S | 100 | $16.755 | D | 93,036 | D | |
| Common Stock | Aug 24, 2016 | S | 1,600 | $16.76 | D | 91,436 | D | |
| Common Stock | Aug 25, 2016 | S | 9,900 | $16.70 | D | 81,536 | D | |
| Common Stock | Aug 25, 2016 | S | 1,700 | $16.71 | D | 79,836 | D | |
| Common Stock | Aug 25, 2016 | S | 100 | $16.715 | D | 79,736 | D | |
| Common Stock | Aug 25, 2016 | S | 1,800 | $16.72 | D | 77,936 | D | |
| Common Stock | Aug 25, 2016 | S | 200 | $16.725 | D | 77,736 | D | |
| Common Stock | Aug 25, 2016 | S | 200 | $16.73 | D | 77,536 | D | |
| Common Stock | Aug 25, 2016 | S | 800 | $16.74 | D | 76,736 | D | |
| Common Stock | Aug 25, 2016 | S | 561 | $16.75 | D | 76,175 | D | |
| Common Stock | Aug 25, 2016 | S | 8 | $16.755 | D | 76,167 | D | |
| Common Stock | Aug 25, 2016 | S | 754 | $16.76 | D | 75,413 | D | |
| Common Stock | Aug 25, 2016 | S | 79 | $16.765 | D | 75,334 | D | |
| Common Stock | Aug 25, 2016 | S | 2,031 | $16.77 | D | 73,303 | D | |
| Common Stock | Aug 25, 2016 | S | 51 | $16.775 | D | 73,252 | D | |
| Common Stock | Aug 25, 2016 | S | 1,316 | $16.78 | D | 71,936 | D | |
| Common Stock | Aug 25, 2016 | S | 116 | $16.785 | D | 71,820 | D | |
| Common Stock | Aug 25, 2016 | S | 900 | $16.79 | D | 70,920 | D | |
| Common Stock | Aug 25, 2016 | S | 200 | $16.795 | D | 70,720 | D | |
| Common Stock | Aug 25, 2016 | S | 631 | $16.80 | D | 70,089 | D | |
| Common Stock | Aug 25, 2016 | S | 11 | $16.81 | D | 70,078 | D |
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 24, 2016 | M | 54,865 | D | Jan 22, 2014 | Jan 5, 2017 | Common Stock | 54,865 | 0 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 100,000 | 100,000 | D |