SEC Form 4/A · accession 0001209191-15-004736
STERLING BANCORP · STL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Louis J Cappelli
Director
Period of report
Oct 31, 2013
Accepted (ET)
Jan 16, 2015 · 6:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001070154
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 31, 2013 | A | 966,799 | $0.00 | A | 966,799 | D | |
| Common StockF3 | Oct 31, 2013 | A | 255,973 | $0.00 | A | 1,222,772 | D | |
| Common Stock | holding | — | — | — | 9,270 | I | By IRA | |
| Common Stock | holding | — | — | — | 897 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Previously incorrectly reported that only 959,372 shares were acquired. This amendment correctly reflects the 966,799 shares acquired.
- F2Received in exchange for 765782 shares of Sterling Bancorp stock in connection with the merger of Sterling Bancorp into Provident New York Bancorp (the "Merger"). On the effective date of the Merger, the closing price of Sterling Bancorp's common stock was $14.75 per share, and the closing price of Provident New York Bancorp's common stock was $11.72 per share.
- F3Grant of Restricted Stock subject to time-based vesting in three equal installments starting on 10/31/2014.