Sec Form 4 Filing - Hansen Michael L @ Waterstone Financial, Inc. - 2021-03-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Hansen Michael L
2. Issuer Name and Ticker or Trading Symbol
Waterstone Financial, Inc. [ WSBF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
11200 W PLANK COURT
3. Date of Earliest Transaction (MM/DD/YY)
03/01/2021
(Street)
WAUWATOSA, WI53226
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/01/2021 M 62,500 A $ 12.75 142,372 D
Common Stock 03/01/2021 S 23,204 D $ 19.4 119,168 D
Common Stock 03/01/2021 S 531 D $ 19.405 118,637 D
Common Stock 03/01/2021 S 1,175 D $ 19.41 117,462 D
Common Stock 03/01/2021 S 310 D $ 19.415 117,152 D
Common Stock 03/01/2021 S 400 D $ 19.416 116,752 D
Common Stock 03/01/2021 S 590 D $ 19.42 116,162 D
Common Stock 03/01/2021 S 29 D $ 19.425 116,133 D
Common Stock 03/01/2021 S 100 D $ 19.4275 116,033 D
Common Stock 03/01/2021 S 1,363 D $ 19.43 114,670 D
Common Stock 03/01/2021 S 295 D $ 19.435 114,375 D
Common Stock 03/01/2021 S 318 D $ 19.44 114,057 D
Common Stock 03/01/2021 S 2,975 D $ 19.445 111,082 D
Common Stock 03/01/2021 S 100 D $ 19.4475 110,982 D
Common Stock 03/01/2021 S 808 D $ 19.45 110,174 D
Common Stock 03/01/2021 S 4 D $ 19.455 110,170 D
Common Stock 03/01/2021 S 1,121 D $ 19.46 109,049 D
Common Stock 03/01/2021 S 200 D $ 19.465 108,849 D
Common Stock 03/01/2021 S 3,500 D $ 19.47 105,349 D
Common Stock 03/01/2021 S 2,362 D $ 19.48 102,987 D
Common Stock 03/01/2021 S 200 D $ 19.485 102,787 D
Common Stock 03/01/2021 S 4,297 D $ 19.49 98,490 D
Common Stock 03/01/2021 S 298 D $ 19.495 98,192 D
Common Stock 03/01/2021 S 5,036 D $ 19.5 93,156 D
Common Stock 03/01/2021 S 200 D $ 19.505 92,956 D
Common Stock 03/01/2021 S 3,721 D $ 19.51 89,235 D
Common Stock 03/01/2021 S 509 D $ 19.515 88,726 D
Common Stock 03/01/2021 S 2,660 D $ 19.52 86,066 D
Common Stock 03/01/2021 S 37 D $ 19.525 86,029 D
Common Stock 186,541 I By Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (Right to Buy) $ 12.75 03/01/2021 M 62,500 03/04/2016 03/04/2025 Common Stock 62,500 $ 0 37,500 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hansen Michael L
11200 W PLANK COURT
WAUWATOSA, WI53226
X
Signatures
/s/ William F. Bruss, Attorney in Fact 03/02/2021
Signature of Reporting Person Date
Explanation of Responses:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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