SEC Form 4 · accession 0001209191-15-028112
OCEANFIRST FINANCIAL CORP · OCFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Fitzpatrick
Officer — Executive Vice President & CFO
Period of report
Mar 18, 2015
Accepted (ET)
Mar 20, 2015 · 10:49 am 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 | Mar 18, 2015 | A | 1,540 | $0.00 | A | 108,960 | D | |
| Common StockF2 | holding | — | — | — | 2,475 | I | By 401(k) | |
| Common StockF2 | holding | — | — | — | 68,823 | I | By Esop | |
| Common StockF2,F3 | holding | — | — | — | 5,725 | I | By Matching 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 | $17.37 | Mar 18, 2015 | A | 22,500 | A | Mar 1, 2016 | Mar 18, 2025 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (Right to Buy) | $20.795 | holding | — | — | — | Apr 20, 2006 | Apr 20, 2015 | Common Stock | 1,464 | 1,464 | D |
| Stock Option (Right to Buy) | $23.475 | holding | — | — | — | Feb 15, 2007 | Feb 15, 2016 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy) | $22.17 | holding | — | — | — | Feb 21, 2008 | Feb 21, 2017 | Common Stock | 20,250 | 20,250 | D |
| Stock Option (Right to Buy) | $16.81 | holding | — | — | — | Feb 20, 2009 | Feb 20, 2018 | Common Stock | 21,263 | 21,263 | D |
| Stock Option (Right to Buy) | $10.00 | holding | — | — | — | Feb 17, 2011 | Feb 17, 2020 | Common Stock | 29,770 | 29,770 | D |
| Stock Option (Right to Buy)F4 | $13.87 | holding | — | — | — | Feb 18, 2012 | Feb 18, 2021 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F4 | $13.83 | holding | — | — | — | Feb 15, 2013 | Feb 15, 2022 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F4 | $14.62 | holding | — | — | — | Feb 15, 2014 | Feb 15, 2023 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (Right to Buy)F4 | $17.75 | holding | — | — | — | Mar 1, 2015 | Mar 19, 2024 | Common Stock | 22,500 | 22,500 | D |
Explanation of responses
- F1Restricted shares awarded. Such shares vest in five equal annual installments beginning on March 1, 2016. Total includes other restricted shares that vest in the future.
- F2This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).
- F3Represents shares acquired under the OceanFirst Bank Matching Contribution Employee Stock Ownership Plan established as part of a spin-off from the OceanFirst Employee Stock Ownership Plan effective December 27, 2006
- F4Options vest in five equal annual installments beginning on the date first exercisable.