SEC Form 4 · accession 0001140361-16-089192
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Dalum
Director
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 11:42 am 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 7, 2016 | M | 54,865 | $16.11 | A | 110,297 | D | |
| Common Stock | Dec 7, 2016 | F | 46,766 | $18.90 | D | 63,531 | D | |
| Common Stock | holding | — | — | — | 25,000 | I | By IRA | |
| Common Stock | holding | — | — | — | 25,623 | 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 Appreciation Rights | $16.11 | Dec 7, 2016 | M | 54,865 | A | 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 |