SEC Form 4 · accession 0001140361-18-022801
Waterstone Financial, Inc. · WSBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Raymond Gerke
Officer — CFO / Sr. Vice President
Period of report
May 9, 2018
Accepted (ET)
May 10, 2018 · 4:29 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 | May 9, 2018 | S | 100 | $17.50 | D | 34,492 | D | |
| Common Stock | May 9, 2018 | S | 1,200 | $17.55 | D | 33,292 | D | |
| Common Stock | May 9, 2018 | S | 200 | $17.575 | D | 33,092 | D | |
| Common Stock | May 9, 2018 | S | 1,500 | $17.60 | D | 31,592 | D | |
| Common Stock | May 9, 2018 | S | 200 | $17.625 | D | 31,392 | D | |
| Common Stock | May 9, 2018 | S | 300 | $17.65 | D | 31,092 | D | |
| Common Stock | holding | — | — | — | 18,442 | I | By ESOP | |
| Common Stock | holding | — | — | — | 1,258 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy) | $1.73 | holding | — | — | — | Jan 27, 2014 | Jan 4, 2022 | Common Stock | 3,292 | 3,292 | D |
| Stock Options | $12.75 | holding | — | — | — | Mar 4, 2016 | Mar 4, 2025 | Common Stock | 10,000 | 10,000 | D |
| Stock Options | $14.98 | holding | — | — | — | Jun 21, 2016 | Jun 20, 2026 | Common Stock | 10,000 | 10,000 | D |