SEC Form 4 · accession 0001140361-16-087373
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick S Lawton
Director
Period of report
Nov 18, 2016
Accepted (ET)
Nov 21, 2016 · 3:21 pm EST
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 | Nov 18, 2016 | M | 54,865 | $16.11 | A | 269,563 | D | |
| Common Stock | Nov 18, 2016 | F | 49,105 | $18.00 | A | 220,458 | D | |
| Common Stock | holding | — | — | — | 532 | I | By Spouse | |
| Common Stock | holding | — | — | — | 2,500 | I | By Trust Child 1 | |
| Common tock | holding | — | — | — | 2,500 | I | By Trust Child 2 | |
| Common Stock | holding | — | — | — | 2,500 | I | By Trust Child 3 | |
| Common Stock | holding | — | — | — | 2,500 | I | By Trust Child 4 |
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 | Nov 18, 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 |