Filing Details
- Accession Number:
- 0001140361-16-057137
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-09 14:59:38
- Reporting Period:
- 2015-05-29
- Filing Date:
- 2016-03-09
- Accepted Time:
- 2016-03-09 14:59:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1569994 | Waterstone Financial Inc. | WSBF | Savings Institution, Federally Chartered (6035) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1601016 | Raymond Mark Gerke | 11200 W Plank Court Wauwatosa WI 53226 | Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-05-29 | 9,875 | $1.73 | 15,915 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-03-01 | 3,292 | $1.73 | 19,207 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-07 | 315 | $14.02 | 18,892 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-03-07 | 518 | $14.03 | 18,374 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-03-07 | 682 | $14.04 | 17,692 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-03-07 | 485 | $14.05 | 17,207 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-12-31 | 2,034 | $14.10 | 14,464 | No | 4 | A | Indirect | By ESOP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Indirect | By ESOP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-05-29 | 9,875 | $1.73 | 9,875 | $1.73 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-03-01 | 3,292 | $1.73 | 3,292 | $1.73 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,548 | 2014-01-27 | 2022-01-04 | No | 4 | M | Direct |
| 3,292 | 2014-01-27 | 2022-01-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,199 | Indirect | By 401(k) |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $16.11 | 2014-01-27 | 2017-01-05 | 8,229 | 8,229 | Direct |
| Common Stock | Stock Options | $12.75 | 2016-03-04 | 2025-03-04 | 10,000 | 10,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-05 | 8,229 | 8,229 | Direct |
| 2025-03-04 | 10,000 | 10,000 | Direct |
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