SEC Form 4 · accession 0001273412-17-000056
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
Dec 5, 2017
Accepted (ET)
Dec 7, 2017 · 4:07 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 | Dec 5, 2017 | M | 100 | $23.40 | A | 33,031 | D | |
| Common Stock | Dec 5, 2017 | S | 100 | $34.52 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 300 | $23.40 | A | 33,231 | D | |
| Common Stock | Dec 5, 2017 | S | 300 | $34.5201 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 110 | $23.40 | A | 33,041 | D | |
| Common Stock | Dec 5, 2017 | S | 110 | $34.54 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 200 | $23.40 | A | 33,131 | D | |
| Common Stock | Dec 5, 2017 | S | 200 | $34.57 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 100 | $23.40 | A | 33,031 | D | |
| Common Stock | Dec 5, 2017 | S | 100 | $34.625 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 100 | $23.40 | A | 33,031 | D | |
| Common Stock | Dec 5, 2017 | S | 100 | $34.77 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 300 | $23.40 | A | 33,231 | D | |
| Common Stock | Dec 5, 2017 | S | 300 | $34.81 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 600 | $23.40 | A | 33,531 | D | |
| Common Stock | Dec 5, 2017 | S | 600 | $34.84 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 100 | $23.40 | A | 33,031 | D | |
| Common Stock | Dec 5, 2017 | S | 100 | $34.85 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 300 | $23.40 | A | 33,231 | D | |
| Common Stock | Dec 5, 2017 | S | 300 | $34.89 | D | 32,931 | D | |
| Common Stock | Dec 5, 2017 | M | 100 | $23.40 | A | 33,031 | D | |
| Common StockF2 | Dec 5, 2017 | M | 100 | $34.92 | D | 32,931 | D | |
| Common Stock | holding | — | — | — | 1,335 | I | by Phillary Management Inc., a Corporation | |
| Common StockF2 | holding | — | — | — | 8,260 | 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)F7,F1 | $23.40 | Dec 5, 2017 | M | 2,310 | D | — | Jan 2, 2018 | Common Stock | 2,310 | 0 | D |
| Stock Option (right to buy)F3 | $13.43 | holding | — | — | — | — | Jan 4, 2020 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (right to buy)F4 | $13.53 | holding | — | — | — | — | Jan 3, 2021 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (right to buy)F5 | $10.72 | holding | — | — | — | — | Jan 3, 2022 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (right to buy)F6 | $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 2, 2009, 2010, 2011, 2012 and 2013.
- F2Includes shares received through dividend reinvestment since the last filing.
- F3The options are exercisable in four equal annual installments on January 4, 2011, 2012, 2013 and 2014.
- F4The options are exercisable in four equal annual installments on January 3, 2012, 2013, 2014 and 2015.
- F5The options are exercisable in four equal annual installments on January 3, 2013, 2014, 2015 and 2016.
- F6The options are exercisable in three equal annual installments on January 2, 2014, 2015 and 2016.
- F7Option grant has no purchase or sale price.