SEC Form 4/A · accession 0001004702-17-000074
OCEANFIRST FINANCIAL CORP · OCFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Christopher Maher
Officer — Chairman, President and CEO · Director
Period of report
Feb 7, 2017
Accepted (ET)
Mar 16, 2017 · 1:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001004702
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 7, 2017 | M | 13,500 | $14.55 | A | 43,291 | D | |
| Common StockF1 | Feb 7, 2017 | M | 24,000 | $17.75 | A | 67,291 | D | |
| Common StockF1 | Feb 7, 2017 | M | 14,886 | $17.37 | A | 82,177 | D | |
| Common StockF1 | Feb 7, 2017 | F | 39,626 | $28.66 | D | 42,551 | D | |
| Common StockF2 | holding | — | — | — | 5,455 | I | By 401(k) Plan | |
| Common StockF2,F3 | holding | — | — | — | 1,372 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $14.55 | Feb 7, 2017 | M | 13,500 | D | Jun 17, 2014 | Jun 17, 2023 | Common Stock | 13,500 | 9,000 | D |
| Stock Option (right to buy)F4 | $17.75 | Feb 7, 2017 | M | 24,000 | D | Mar 1, 2015 | Mar 19, 2024 | Common Stock | 24,000 | 36,000 | D |
| Stock Option (Right to BuyF4 | $17.37 | Feb 7, 2017 | M | 14,886 | D | Mar 1, 2016 | Mar 18, 2025 | Common Stock | 14,886 | 60,544 | D |
| Stock Option (right to buy)F4 | $17.28 | holding | — | — | — | Mar 1, 2017 | Mar 16, 2026 | Common Stock | 99,460 | 99,460 | D |
Explanation of responses
- F1Total includes shares of restricted Common stock that have not yet vested.
- F2This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).
- F3This form is being filed to correct the number of ESOP shares held by Mr. Maher on February 6, 2017.
- F4Options vest in five equal annual installments beginning on the date first exercisable.