SEC Form 4 · accession 0001140361-17-039684
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca M Arndt
Officer — Sr. Vice President
Period of report
Oct 25, 2017
Accepted (ET)
Oct 26, 2017 · 3:59 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 | Oct 25, 2017 | M | 6,000 | $12.75 | A | 46,489 | D | |
| Common Stock | Oct 25, 2017 | S | 3,400 | $19.75 | D | 43,089 | D | |
| Common Stock | Oct 25, 2017 | S | 200 | $19.775 | D | 42,889 | D | |
| Common Stock | Oct 25, 2017 | S | 300 | $19.80 | D | 42,589 | D | |
| Common Stock | Oct 25, 2017 | S | 1,647 | $19.85 | D | 40,942 | D | |
| Common Stock | Oct 25, 2017 | S | 400 | $19.875 | D | 40,542 | D | |
| Common Stock | Oct 25, 2017 | S | 53 | $19.90 | D | 40,489 | 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 | $12.75 | Oct 25, 2017 | M | 6,000 | D | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 15,000 | 9,000 | D |