SEC Form 4 · accession 0001209191-15-058637
STERLING BANCORP · STL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent L. DeLucia
Officer — EVP, Hudson Valley Market Pres
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 2:07 pm EDT
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 Stock | holding | — | — | — | 25,656 | D | ||
| Common Stock | holding | — | — | — | 22,325 | I | By 401(K) | |
| Common Stock | holding | — | — | — | 19,929 | I | By ESOP | |
| Common Stock | holding | — | — | — | 2,334 | D | ||
| Common Stock | holding | — | — | — | 2,201 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option | $9.00 | holding | — | — | — | Nov 20, 2013 | Nov 20, 2022 | Common Stock | 11,000 | 11,000 | D |
| Employee Stock Option (right to buy) | $11.36 | holding | — | — | — | Oct 24, 2014 | Oct 24, 2023 | Common Stock | 10,081 | 10,081 | D |
| Employee Stock Option (right to buy) | $13.40 | holding | — | — | — | Jul 1, 2007 | Jul 1, 2016 | Common Stock | 5,000 | 5,000 | D |
| Employee Stock Option (right to buy) | $10.03 | holding | — | — | — | Jul 27, 2011 | Jul 27, 2020 | Common Stock | 5,000 | 5,000 | D |
| Employee Stock Option (right to buy) | $7.63 | holding | — | — | — | Oct 27, 2012 | Oct 27, 2021 | Common Stock | 26,000 | 26,000 | D |