SEC Form 4 · accession 0001200836-16-000073
WASHINGTON FEDERAL INC · WAFD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cathy E Cooper
Officer — EVP & Retail Banking Manager
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 3:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000936528
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 2,000 | $23.75 | A | 19,004 | D | |
| Common Stock | Nov 10, 2016 | M | 1,500 | $24.03 | A | 20,504 | D | |
| Common StockF1 | Nov 10, 2016 | S | 3,500 | $29.9157 | D | 17,004 | D | |
| Common Stock | holding | — | — | — | 7,508 | 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 Option (right to buy) | $23.75 | Nov 10, 2016 | M | 2,000 | D | Mar 26, 2007 | Mar 26, 2017 | Common Stock | 2,000 | 0 | D |
| Employee Stock Option (right to buy) | $24.03 | Nov 10, 2016 | M | 1,500 | D | Mar 24, 2008 | Mar 24, 2018 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $29.60 to $30.10. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.