0000943374-14-000030.txt : 20140121 0000943374-14-000030.hdr.sgml : 20140120 20140121112347 ACCESSION NUMBER: 0000943374-14-000030 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140121 DATE AS OF CHANGE: 20140121 FILER: 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 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-36271 FILM NUMBER: 14537158 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 8-A12B 1 form8a-012014.htm FORM 8-A12B form8a-012014.htm
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549


FORM 8-A


FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934

Waterstone Financial, Inc.
Exact Name of Registrant as Specified in Its Charter)

Maryland
90-1026709
(State of incorporation or organization)
(I.R.S. Employer Identification No.)

11200 West Plank Court
Wauwatosa, Wisconsin
53226
(Address of principal executive offices)
(Zip Code)

Securities to be registered pursuant to Section 12(b) of the Act:

Common stock, par value $0.01 per share
The NASDAQ Stock Market LLC
(Title of each class to be registered)
(Name of each exchange on which
each class is to be registered)

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box.  [X]

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box.  [  ]

Securities Act registration statement file number to which this form relates: 333-189160

Securities to be registered pursuant to Section 12(g) of the Act:

None
(Title of class)

 
 
 

Item 1.  Description of Registrant’s Securities to be Registered.

For a description of the Registrant’s securities, reference is made to “Description of Capital Stock of New Waterstone Following the Conversion,” “Our Dividend Policy” and “Market for the Common Stock” in the Registrant’s Registration Statement on Form S-1 (File No. 333-189160) (the “Registration Statement”), initially filed with the SEC on June 7, 2013 and amended on July 18, 2013, July 30, 2013, September 6, 2013, October 29, 2013 and November 5, 2013, which is hereby incorporated by reference.  For a description of the provisions of the Registrant’s Articles of Incorporation and Bylaws that may render a change in control of the Registrant more difficult, reference is made to “Restrictions on Acquisition of New Waterstone” and “Description of Capital Stock of New Waterstone Following the Conversion” in the Registration Statement.

Item 2.  Exhibits.

1.
Registration Statement on Form S-1 (File No. 333-189160) dated June 7, 2013, as amended on July 18, 2013, July 30, 2013, September 6, 2013, October 29, 2013 and November 5, 2013, is hereby incorporated by reference (the “Registration Statement”).

2.
Articles of Incorporation (incorporated by reference to Exhibit 3.1 of the Registration Statement).

3.
Bylaws (incorporated by reference to Exhibit 3.2 of the Registration Statement).

4.
Specimen Stock Certificate (incorporated by reference to Exhibit 4 of the Registration Statement).


 
 
 

SIGNATURE


Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.


   
WATERSTONE FINANCIAL, INC.
     
     
Date: January 21, 2014
By:
/s/ Douglas S. Gordon
   
Douglas S. Gordon
   
President and Chief Executive Officer