SEC Form 4 · accession 0001140361-16-089758
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric J Egenhoefer
Officer — Subsidiary President
Period of report
Dec 14, 2016
Accepted (ET)
Dec 15, 2016 · 11:50 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 14, 2016 | M | 16,000 | $3.47 | A | 48,518 | D | |
| Common Stock | Dec 14, 2016 | F | 2,946 | $18.85 | D | 45,572 | D |
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 | $3.47 | Dec 14, 2016 | M | 16,000 | D | Jan 22, 2014 | Oct 20, 2020 | Common Stock | 16,000 | 38,865 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 50,000 | 50,000 | D |