SEC Form 4 · accession 0001225208-16-042125
Ocean Shore Holding Co. · OSHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Rizzotte
Officer — Exec. V.P. & Chief Lend. Off.
Period of report
Nov 19, 2016
Accepted (ET)
Nov 22, 2016 · 5:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001444397
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 19, 2016 | F | 663 | $26.65 | D | 5,564 | D | |
| Common Stock | Nov 22, 2016 | M | 1,800 | $14.14 | A | 7,364 | D | |
| Common Stock | Nov 22, 2016 | M | 433 | $11.32 | A | 7,797 | D | |
| Common Stock | Nov 22, 2016 | S | 2,233 | $27.00 | D | 5,564 | D | |
| Common Stock | holding | — | — | — | 23,604 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 2,595 | I | By deferred compensation plan | |
| Common StockF2 | holding | — | — | — | 12,003 | I | By ESOP | |
| Common StockF1,F3 | holding | — | — | — | 3,000 | I | By Stock Award II |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $14.14 | Nov 22, 2016 | M | 1,800 | D | Nov 19, 2014 | Nov 19, 2023 | Common Stock | 1,800 | 1,200 | D |
| Stock Option (right to buy)F5 | $11.32 | Nov 22, 2016 | M | 433 | D | Nov 20, 2008 | Nov 20, 2017 | Common Stock | 433 | 0 | D |
Explanation of responses
- F1Since the reporting person's last report 1,500 shares previously reported as being held by Stock Award II have vested and are now owned directly.
- F2This form reflects changes in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).
- F3Stock Awards granted pursuant to the Ocean Shore Holding Co. 2010 Equity Incentive Plan vest in five equal annual installments commencing on November 19, 2014.
- F4Stock Options granted pursuant to the Ocean Shore Holding Co. 2010 Equity Incentive Plan vest in five equal annual installments commencing on November 19, 2014.
- F5Stock Options granted pursuant to the Ocean Shore Holding Co. 2005 Equity Incentive Plan vest in five equal annual installments commencing on November 20, 2008.