SEC Form 4 · accession 0001140361-16-088877
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas S Gordon
Officer — CEO
Period of report
Dec 5, 2016
Accepted (ET)
Dec 6, 2016 · 12:23 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 | Dec 5, 2016 | G | 12,000 | $0.00 | D | 432,097 | D | |
| Common Stock | holding | — | — | — | 26,961 | I | By ESOP | |
| Common Stock | holding | — | — | — | 22,503 | 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 | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 150,000 | 150,000 | D |