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Dalum Thomas E's Form 4 filing

Waterstone Financial, Inc. (WSBF) · filed Nov 23, 2021

Accession no.
0001567619-21-021018
Filed
Nov 23, 2021
Trade date
Nov 19-22, 2021
Filing delay
4 days
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 28 non-derivative transactions and 2 derivative transactions. Open-market sales total $306.3K. It was filed 4 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
Dalum Thomas ECIK 0001336612Director

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Nov 19, 2021Common StockMOption exerciseAcquired+9,658$12.75+$123,139.573,189Direct
Nov 19, 2021Common StockSSaleDisposed−2,000$21.50−$43,00071,189Direct
Nov 19, 2021Common StockSSaleDisposed−359$21.51−$7,722.0970,830Direct
Nov 19, 2021Common StockSSaleDisposed−260$21.51−$5,592.670,570Direct
Nov 19, 2021Common StockSSaleDisposed−81$21.52−$1,743.1270,489Direct
Nov 19, 2021Common StockSSaleDisposed−2,861$21.52−$61,568.7267,628Direct
Nov 19, 2021Common StockSSaleDisposed−1,585$21.53−$34,125.0566,043Direct
Nov 19, 2021Common StockSSaleDisposed−179$21.54−$3,855.6665,864Direct
Nov 19, 2021Common StockSSaleDisposed−1,441$21.54−$31,039.1464,423Direct
Nov 19, 2021Common StockSSaleDisposed−170$21.55−$3,663.564,253Direct
Nov 19, 2021Common StockSSaleDisposed−447$21.56−$9,637.3263,806Direct
Nov 19, 2021Common StockSSaleDisposed−275$21.57−$5,931.7563,531Direct
Nov 22, 2021Common StockMOption exerciseAcquired+10,270$12.75+$130,942.573,801Direct
Nov 22, 2021Common StockSSaleDisposed−1$21.64−$21.6473,800Direct
Nov 22, 2021Common StockSSaleDisposed−200$21.65−$4,33073,600Direct
Nov 22, 2021Common StockSSaleDisposed−300$21.65−$6,49573,300Direct
Nov 22, 2021Common StockSSaleDisposed−20$21.67−$433.473,280Direct
Nov 22, 2021Common StockSSaleDisposed−380$21.68−$8,238.472,900Direct
Nov 22, 2021Common StockSSaleDisposed−100$21.69−$2,16972,800Direct
Nov 22, 2021Common StockSSaleDisposed−200$21.70−$4,34072,600Direct
Nov 22, 2021Common StockSSaleDisposed−600$21.71−$13,02672,000Direct
Nov 22, 2021Common StockSSaleDisposed−100$21.72−$2,17271,900Direct
Nov 22, 2021Common StockSSaleDisposed−200$21.73−$4,34671,700Direct
Nov 22, 2021Common StockSSaleDisposed−420$21.74−$9,130.871,280Direct
Nov 22, 2021Common StockSSaleDisposed−280$21.75−$6,09071,000Direct
Nov 22, 2021Common StockSSaleDisposed−449$21.75−$9,765.7570,551Direct
Nov 22, 2021Common StockSSaleDisposed−1,180$21.76−$25,676.869,371Direct
Nov 22, 2021Common StockSSaleDisposed−100$21.77−$2,17769,271Direct

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Nov 19, 2021Common StockMOption exerciseDisposed−9,658$0.00$090,342Direct
Nov 22, 2021Common StockMOption exerciseDisposed−10,270$0.00$080,072Direct

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

No transaction price on this filing refers to a footnote.

Read the full filing on SEC EDGAR (opens in a new tab)