SEC Form 4 · accession 0001140361-17-016256
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca M Arndt
Officer — Senior Vice President
Period of report
Apr 19, 2017
Accepted (ET)
Apr 20, 2017 · 2:36 pm 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 | Apr 19, 2017 | M | 4,390 | $1.73 | A | 40,489 | D | |
| Common Stock | holding | — | — | — | 21,806 | I | By ESOP | |
| Common Stock | holding | — | — | — | 20,039 | I | By 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.73 | Apr 19, 2017 | M | 4,390 | D | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 4,390 | 0 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,000 | 15,000 | D |