SEC Form 4 · accession 0001424235-17-000002
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
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 12:54 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 | Jan 3, 2017 | M | 2,992 | $16.28 | A | 15,915 | D | |
| Common Stock | Jan 3, 2017 | F | 1,559 | $31.25 | D | 14,356 | D | |
| Common Stock | Jan 3, 2017 | M | 2,915 | $18.13 | A | 17,271 | D | |
| Common Stock | Jan 3, 2017 | F | 2,091 | $31.25 | D | 15,180 | D | |
| Common Stock | Jan 3, 2017 | M | 4,216 | $18.40 | A | 19,396 | D | |
| Common Stock | Jan 3, 2017 | F | 3,049 | $31.25 | D | 16,347 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Iso Employee Stock Option (Right to Buy) | $16.28 | Jan 3, 2017 | M | 2,992 | D | Nov 18, 2010 | Nov 18, 2019 | Common Stock | 2,992 | 0 | D |
| Nso Employee Stock Option (Right to Buy) | $18.13 | Jan 3, 2017 | M | 2,915 | D | Nov 16, 2011 | Nov 16, 2020 | Common Stock | 2,915 | 0 | D |
| Nso Employee Stock Option (Right to Buy) | $18.40 | Jan 3, 2017 | M | 4,216 | D | Nov 16, 2012 | Nov 16, 2021 | Common Stock | 4,216 | 0 | D |
Explanation of responses
- F1The acquisition of the shares, as adjusted for dividends, through the exercise of the stock option under the Northrim BanCorp, Inc. Stock Option Plan is exempt pursuant to Section 16(b) of the Securities Exchange Act of 1934.