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