0001140361-14-002925.txt : 20140123
0001140361-14-002925.hdr.sgml : 20140123
20140123091811
ACCESSION NUMBER: 0001140361-14-002925
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: Bruss William F
CENTRAL INDEX KEY: 0001374571
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36271
FILM NUMBER: 14541721
MAIL ADDRESS:
STREET 1: 11200 W PLANK COURT
CITY: WAUWATOSA
STATE: WI
ZIP: 53226
4
1
doc1.xml
FORM 4
X0306
4
2014-01-22
0
0001569994
Waterstone Financial, Inc.
WSBF
0001374571
Bruss William F
11200 W PLANK COURT
WAUWATOSA
WI
53226
0
1
0
0
COO General Counsel
Common Stock
2014-01-22
4
A
0
12497
10.00
A
12497
I
by 401(k) plan
Common Stock
2014-01-22
4
A
0
21329
0.00
A
21329
I
By ESOP
Common Stock
2014-01-22
4
A
0
32370
0.00
A
32370
D
Common Stock
2014-01-22
4
A
0
21
0.00
A
21
I
By Custodian
Stock Options
16.11
2014-01-22
4
A
0
54865
0.00
A
2014-01-22
2017-01-05
Common Stock
54865
54865
D
Stock Options
1.73
2014-01-22
4
A
0
38405
0
A
2014-01-22
2022-01-04
Common Stock
38405
38405
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).
Purusant 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 the original terms.
/s/ Richard C. Larson, attorney in fact
2014-01-23