SEC Form 4 · accession 0001273412-15-000040
PEAPACK GLADSTONE FINANCIAL CORP · PGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip W Smith III
Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 2:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001050743
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Mar 11, 2015 | A | 593 | $0.00 | A | 37,194 | D | |
| Common Stock | holding | — | — | — | 1,335 | I | by Phillary Management Inc., a Corporation | |
| Common StockF3 | holding | — | — | — | 8,243 | I | Spouse |
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)F1 | $26.76 | holding | — | — | — | — | Jan 3, 2017 | Common Stock | 2,310 | 2,310 | D |
| Stock option (right to buy)F2 | $23.40 | holding | — | — | — | — | Jan 2, 2018 | Common Stock | 2,310 | 2,310 | D |
| Stock Option (right to buy)F4 | $13.43 | holding | — | — | — | — | Jan 4, 2020 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (right to buy)F5 | $13.53 | holding | — | — | — | — | Jan 3, 2021 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (right to buy)F6 | $10.72 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (right to buy)F7 | $14.68 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 2,500 | 2,500 | D |
Explanation of responses
- F1The options are exercisable in five equal annual installments on January 3, 2008, 2009, 2010, 2011 and 2012.
- F2The options are exercisable in five equal annual installments on January 2, 2009, 2010, 2011, 2012 and 2013.
- F3Includes shares received through dividend reinvestment since the last filing.
- F4The options are exercisable in four equal annual installments on January 4, 2011, 2012, 2013 and 2014.
- F5The options are exercisable in four equal annual installments on January 3, 2012, 2013, 2014 and 2015.
- F6The options are exercisable in four equal annual installments on January 3, 2013, 2014, 2015 and 2016.
- F7The options are exercisable in three equal annual installments on January 2, 2014, 2015 and 2016.