SEC Form 4 · accession 0001127602-17-013720
DIME COMMUNITY BANCSHARES INC · DCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Mahon
Officer — PRESIDENT AND CEO · Director
Period of report
Dec 30, 2016
Accepted (ET)
Apr 4, 2017 · 12:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005409
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 30, 2016 | A | 23,819 | $20.10 | A | 84,770 | I | Esop |
| Common StockF2 | Dec 30, 2016 | A | 1,768 | $20.10 | A | 135,127 | I | BMP |
| Common Stock | holding | — | — | — | 135,852 | D | ||
| Common Stock | holding | — | — | — | 152,341 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 20,322 | I | Restricted Stock Awards |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $15.46 | holding | — | — | — | May 1, 2015 | Apr 29, 2021 | Common Stock | 9,709 | 9,709 | D |
| Stock Options (Right to Buy) | $12.75 | holding | — | — | — | May 1, 2011 | Apr 30, 2020 | Common Stock | 3,044 | 3,044 | D |
| Stock Options (Right to Buy)F4 | $16.73 | holding | — | — | — | May 1, 2012 | Jul 31, 2018 | Common Stock | 11,706 | 11,706 | D |
Explanation of responses
- F1Allocation of earned shares during the year ended December 31, 2016 in the Company's qualified Employee Stock Ownership Plan. While the allocation is deemed effective as of December 31, 2016, the amount of shares allocated was not fully determined until on or about March 31, 2017.
- F2Allocation of earned shares during the year ended December 31, 2016 in the Company's non-qualified Benefit Maintenance Plan. While the allocation is deemed effective as of December 31, 2016, the amount of shares allocated was not fully determined until on or about March 31, 2017.
- F3Award vests in equal annual installments on May 1, 2012, 2013, 2014 and 2015.
- F4Award vests in equal annual installments (adjusted for rounding) on May 1, 2009, 2010, 2011 and 2012.