SEC Form 4 · accession 0001424235-16-000014
NORTHRIM BANCORP INC · NRIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L Hartung
Officer — EVP, Corp Development Officer
Period of report
Nov 16, 2016
Accepted (ET)
Nov 18, 2016 · 4:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001163370
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 30, 2016 | J | 107 | $24.01 | A | 1,160 | I | By 401 (K) |
| Common Stock | Nov 16, 2016 | A | 1,548 | $28.10 | A | 12,923 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nso Employee Stock Option (Right to Buy)F2 | $28.10 | Nov 16, 2016 | A | 2,298 | A | Nov 16, 2017 | Nov 16, 2026 | Common Stock | 2,298 | 2,298 | D |
Explanation of responses
- F1As adjusted for dividends. Acquisition represents investment of employer year-end 2015 contribution under the Plan.
- F2One-third of the total amount of such options granted shall vest (ie. become exercisable) each year beginning with this date.