Form 4 Waterstone Financial, For: Mar 01 Filed by: Hansen Michael L

March 2, 2021 2:48 PM EST

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FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
Hansen Michael L

(Last) (First) (Middle)
11200 W PLANK COURT

(Street)
WAUWATOSA WI 53226

(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
03/01/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 $ 19.40 119,168 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 $ 19.50 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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  
Explanation of Responses:
/s/ William F. Bruss, Attorney in Fact 03/02/2021
** Signature of Reporting Person Date
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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.


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