SEC Form 4 · accession 0001273412-18-000010
PEAPACK GLADSTONE FINANCIAL CORP · PGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey J Carfora
Officer — SEVP & Chief Financial Officer
Period of report
Mar 11, 2018
Accepted (ET)
Mar 13, 2018 · 3:12 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 Stock | Mar 11, 2018 | F | 901 | $34.71 | D | 90,989 | D | |
| Common Stock | Mar 11, 2018 | F | 947 | $34.71 | D | 92,627 | D | |
| Common Stock | Mar 11, 2018 | F | 716 | $34.77 | D | 93,781 | D | |
| Common Stock | Mar 11, 2018 | F | 108 | $34.77 | D | 93,953 | D | |
| Common Stock | holding | — | — | — | 963 | I | Profit Sharing | |
| Common Stock | holding | — | — | — | 3,926 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | holding | — | — | — | — | — | Common Stock | 6,328 | 6,328 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | — | — | Common Stock | 1,123 | 1,123 | D |
Explanation of responses
- F1Shares withheld to satisfy tax withholding obligations arising from settlement of restricted stock units.
- F2Each restricted stock unit represents a contingent right to receive one share of common stock of Peapack-Gladstone Financial Corporation.
- F3The restricted stock units vest and settle in stock in three approximately equal installments on each of the first three anniversaries of the grant date.
- F4The restricted stock units vest and settle in stock in five approximately equal installments on each of the first five anniversaries of the grant date.