SEC Form 4/A · accession 0001209191-15-069164
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
Michael E Finn
Officer — Chief Risk Officer
Period of report
Aug 26, 2015
Accepted (ET)
Sep 2, 2015 · 5:19 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 | Aug 26, 2015 | P | 4,000 | $13.48 | A | 4,000 | I | By Roth IRA |
| Common StockF1 | holding | — | — | — | 31,595 | D | ||
| Common StockF2 | holding | — | — | — | 12,480 | I | By Traditional IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Due to an administrative error, the Reporting Person's Direct holdings and restricted shares were incorrectly reported. This filing reflects the correct Direct holdings of the Reporting Person, including the corrected Restricted Stock award amount of 13,605 shares of Sterling Bancorp stock as previously reported on June 30, 2015 in connection with the merger of Hudson Valley Holding Corp. into Sterling Bancorp.
- F2Reflects change in form of ownership from 'Indirect" (401(k)) to "Indirect" Traditional IRA.