SEC Form 4 · accession 0001140361-17-016419
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Bruss
Officer — COO / General Counsel
Period of report
Apr 20, 2017
Accepted (ET)
Apr 21, 2017 · 4:56 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 20, 2017 | M | 38,405 | $1.73 | A | 66,415 | D | |
| Common Stock | Apr 20, 2017 | F | 34,823 | $18.55 | D | 62,833 | D | |
| Common Stock | Apr 20, 2017 | F | 11,614 | $18.55 | D | 51,219 | D | |
| Common Stock | holding | — | — | — | 34,725 | I | By ESOP | |
| Common Stock | holding | — | — | — | 12,504 | I | By 401k | |
| Common Stock | holding | — | — | — | 21 | I | By Custodian |
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 | $1.73 | Apr 20, 2017 | M | 38,405 | D | Jan 22, 2014 | Jan 4, 2022 | Common Stock | 38,405 | 0 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 30,000 | 30,000 | D |