SEC Form 4 · accession 0001140361-17-013697
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
Mar 27, 2017
Accepted (ET)
Mar 29, 2017 · 11:03 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 27, 2017 | M | 15,686 | $12.75 | A | 431,143 | D | |
| Common Stock | holding | — | — | — | 30,323 | 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 | Mar 27, 2017 | M | 15,686 | D | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,686 | 134,314 | D |