0001140361-14-002947.txt : 20140123
0001140361-14-002947.hdr.sgml : 20140123
20140123094043
ACCESSION NUMBER: 0001140361-14-002947
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140122
FILED AS OF DATE: 20140123
DATE AS OF CHANGE: 20140123
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Waterstone Financial, Inc.
CENTRAL INDEX KEY: 0001569994
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11200 WEST PLANK COURT
CITY: WAUWATOSA
STATE: WI
ZIP: 53226
BUSINESS PHONE: (414) 761-1000
MAIL ADDRESS:
STREET 1: 11200 WEST PLANK COURT
CITY: WAUWATOSA
STATE: WI
ZIP: 53226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gordon Douglas S
CENTRAL INDEX KEY: 0001343499
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36271
FILM NUMBER: 14541760
MAIL ADDRESS:
STREET 1: C/O WAUWATOSA HOLDINGS INC
STREET 2: 11200 WEST PLANK COURT
CITY: WAUWATOSA
STATE: WI
ZIP: 53226-3520
4
1
doc1.xml
FORM 4
X0306
4
2014-01-22
0
0001569994
Waterstone Financial, Inc.
WSBF
0001343499
Gordon Douglas S
11200 W PLANK COURT
WAUWATOSA
WI
53226
1
1
0
0
CEO
Common Stock
2014-01-22
4
A
0
163090
0.00
A
163090
D
Common Stock
2014-01-22
4
A
0
50000
10.00
A
213090
D
Common Stock
2014-01-22
4
A
0
16870
0.00
A
16870
I
By ESOP
Common Stock
2014-01-22
4
A
0
22503
0.00
A
22503
I
By Trust
Stock Options
16.11
2014-01-22
4
A
0
274325
0.00
A
2014-01-22
2017-01-05
Common Stock
274325
274325
D
Pursuant to the Plan of Conversion and Reorganization of Lamplighter Financial, MHC, each share of Waterstone Financial, Inc. (Federal corporation) was exchanged for 1.0973 shares of common stock of Waterstone Financial, Inc. (Maryland corporation).
Pursuant to the Plan of Conversion and Reorganization of Lamplighter Financial, MHC, each option to purchase shares of common stock of Waterstone Financial, Inc. (Federal corporation) was converted into an option to purchase shares of common stock of Waterstone Financial, Inc. (Maryland corporation) by multiplying the number of shares subject to each option by the 1.0973 exchange ratio. The exercise price per share of each converted option was determined by dividing the exercise price of the option by the 1.0973 exchange ratio. All such converted options continue to vest based on their original terms.
/s/ Richard C. Larson, attorney in fact
2014-01-23