SEC Form 4 · accession 0001273412-16-000174
PEAPACK GLADSTONE FINANCIAL CORP · PGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Finn MW Caspersen Jr.
Officer — SEVP & Chief Counsel · Director
Period of report
Nov 18, 2016
Accepted (ET)
Dec 9, 2016 · 4:43 pm EST
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 Stock | Nov 18, 2016 | F | 2,775 | $26.56 | D | 86,126 | D | |
| Common Stock | Nov 18, 2016 | M | 3,150 | $23.40 | A | 89,276 | D | |
| Common Stock | Dec 2, 2016 | F | 2,031 | $27.66 | D | 87,245 | D | |
| Common Stock | Dec 2, 2016 | M | 2,100 | $26.76 | A | 89,345 | D | |
| Common Stock | holding | — | — | — | 1,333 | I | Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 3,135 | I | Employee Stock Purchase Plan |
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)F3,F1 | $26.76 | Dec 2, 2016 | M | 2,100 | D | — | Jan 3, 2017 | Common Stock | 2,100 | 0 | D |
| Stock Option (right to buy)F3,F2 | $23.40 | Nov 18, 2016 | M | 3,150 | D | — | Jan 2, 2018 | Common Stock | 3,150 | 0 | 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.
- F3Option grant has no purchase or sale price