SEC Form 4 · accession 0001140361-16-077874
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Bruss
Officer — COO / General Counsel
Period of report
Aug 24, 2016
Accepted (ET)
Aug 25, 2016 · 5:27 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 24, 2016 | M | 54,865 | $16.11 | A | 86,972 | D | |
| Common Stock | Aug 24, 2016 | S | 13,263 | $16.70 | D | 73,709 | D | |
| Common Stock | Aug 24, 2016 | S | 100 | $16.705 | D | 73,609 | D | |
| Common Stock | Aug 24, 2016 | S | 1,640 | $16.71 | D | 71,969 | D | |
| Common Stock | Aug 24, 2016 | S | 930 | $16.72 | D | 71,039 | D | |
| Common Stock | Aug 24, 2016 | S | 2 | $16.835 | D | 71,037 | D | |
| Common Stock | Aug 25, 2016 | S | 16,257 | $16.70 | D | 54,780 | D | |
| Common Stock | Aug 25, 2016 | S | 400 | $16.705 | D | 54,380 | D | |
| Common Stock | Aug 25, 2016 | S | 2,200 | $16.71 | D | 52,180 | D | |
| Common Stock | Aug 25, 2016 | S | 100 | $16.715 | D | 52,080 | D | |
| Common Stock | Aug 25, 2016 | S | 700 | $16.72 | D | 51,380 | D | |
| Common Stock | Aug 25, 2016 | S | 1,100 | $16.725 | D | 50,280 | D | |
| Common Stock | Aug 25, 2016 | S | 2,430 | $16.73 | D | 47,850 | D | |
| Common Stock | Aug 25, 2016 | S | 100 | $16.7325 | D | 47,750 | D | |
| Common Stock | Aug 25, 2016 | S | 1,000 | $16.735 | D | 46,750 | D | |
| Common Stock | Aug 25, 2016 | S | 2,102 | $16.74 | D | 44,648 | D | |
| Common Stock | Aug 25, 2016 | S | 994 | $16.75 | D | 43,654 | D | |
| Common Stock | Aug 25, 2016 | S | 200 | $16.755 | D | 43,454 | D | |
| Common Stock | Aug 25, 2016 | S | 2,338 | $16.76 | D | 41,116 | D | |
| Common Stock | Aug 25, 2016 | S | 21 | $16.765 | D | 41,095 | D | |
| Common Stock | Aug 25, 2016 | S | 2,090 | $16.77 | D | 39,005 | D | |
| Common Stock | Aug 25, 2016 | S | 566 | $16.775 | D | 38,439 | D | |
| Common Stock | Aug 25, 2016 | S | 1,351 | $16.78 | D | 37,088 | D | |
| Common Stock | Aug 25, 2016 | S | 122 | $16.785 | D | 36,966 | D | |
| Common Stock | Aug 25, 2016 | S | 1,310 | $16.79 | D | 35,656 | D | |
| Common Stock | Aug 25, 2016 | S | 1,878 | $16.795 | D | 33,778 | D | |
| Common Stock | Aug 25, 2016 | S | 861 | $16.80 | D | 32,917 | D | |
| Common Stock | holding | — | — | — | 31,363 | I | By ESOP | |
| Common Stock | holding | — | — | — | 12,464 | I | By 401(k) plan | |
| Common Stock | holding | — | — | — | 21 | I | By Custodian |
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 Sock | 54,865 | 0 | D |
| Stock Options | $1.73 | holding | — | — | — | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 38,405 | 38,405 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 30,000 | 30,000 | D |