SEC Form 4 · accession 0001140361-17-011708
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca M Arndt
Officer — Vice President
Period of report
Mar 10, 2017
Accepted (ET)
Mar 13, 2017 · 11:53 am 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 | Mar 10, 2017 | S | 1,500 | $18.15 | D | 36,828 | D | |
| Common Stock | Mar 10, 2017 | S | 300 | $18.175 | D | 36,528 | D | |
| Common Stock | Mar 10, 2017 | S | 429 | $18.20 | D | 36,099 | D | |
| Common Stock | holding | — | — | — | 21,806 | I | By ESOP | |
| Common Stock | holding | — | — | — | 20,039 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $1.73 | holding | — | — | — | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 4,390 | 4,390 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,000 | 15,000 | D |