SEC Form 4 · accession 0001004702-17-000191
OCEANFIRST FINANCIAL CORP · OCFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven E Brady
Director
Period of report
Dec 22, 2016
Accepted (ET)
Nov 2, 2017 · 3:54 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 Stock | Dec 22, 2016 | I | 2,244 | $0.00 | D | 1,622 | I | By Stock Award II |
| Common Stock | Dec 22, 2016 | F | 1,622 | $0.00 | D | 0 | I | By Stock Award II |
| Common Stock | Dec 22, 2016 | A | 2,244 | $0.00 | A | 72,562 | D | |
| Common Stock | Dec 31, 2016 | A | 5,752 | $0.00 | A | 23,015 | I | ESOP |
| Common Stock | Jan 27, 2017 | I | 3,313 | $0.00 | D | 0 | I | By Deferred Compensation Plan |
| Common Stock | Jan 27, 2017 | I | 3,313 | $0.00 | A | 75,875 | D | |
| Common Stock | Mar 2, 2017 | I | 33,850 | $0.00 | D | 0 | I | By 401(k) |
| Common Stock | Mar 2, 2017 | I | 33,850 | $0.00 | A | 33,850 | I | IRA |
| Common Stock | Sep 1, 2017 | I | 8,328 | $0.00 | D | 0 | I | By SERP |
| Common StockF1 | Sep 1, 2017 | I | 8,328 | $0.00 | A | 85,238 | D | |
| Common Stock | Sep 7, 2017 | I | 23,015 | $0.00 | D | 0 | I | ESOP |
| Common StockF1 | Sep 7, 2017 | I | 23,015 | $0.00 | A | 23,015 | I | IRA |
| Common StockF2 | Oct 31, 2017 | S | 2,800 | $27.65 | D | 82,438 | D | |
| Common Stock | Oct 31, 2017 | M | 956 | $9.37 | A | 83,394 | D |
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) | $9.37 | Oct 31, 2017 | M | 956 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 956 | 0 | D |
| Stock Option (right to buy) | $8.45 | holding | — | — | — | Aug 18, 2011 | Aug 18, 2020 | Common Stock | 65,858 | 65,858 | D |
| Stock Option (right to buy)F3 | $11.71 | holding | — | — | — | Nov 19, 2014 | Nov 19, 2023 | Common Stock | 6,042 | 6,042 | D |
Explanation of responses
- F1This total includes activity from earlier transactions that were reported on previous Forms 4.
- F2This transaction was executed in multiple trades at prices ranging from $27.565 to $27.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the numbers of shares and prices at which the transaction was effected.
- F3Options vest in five equal annual installments beginning on the date first exercisable.