SEC Form 4 · accession 0001478105-17-000006
Northwest Bancshares, Inc. · NWBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Ritzert
Officer — EVP Finance and Controller
Period of report
Dec 11, 2017
Accepted (ET)
Dec 12, 2017 · 9:25 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001471265
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 3,400 | $12.32 | A | 50,657 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 816 | $11.70 | A | 51,473 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 816 | $12.44 | A | 52,289 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 816 | $13.15 | A | 53,105 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 1,248 | $12.37 | A | 54,353 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 1,248 | $14.15 | A | 55,601 | D | |
| Northwest Bancshares, Inc. | Dec 11, 2017 | X | 1,248 | $15.57 | A | 56,849 | D | |
| Northwest Bancshares, Inc.F1 | Dec 11, 2017 | S | 9,592 | $16.5672 | D | 47,257 | D | |
| Northwest Bancshares, Inc. | holding | — | — | — | 678 | I | Wife's IRA | |
| Northwest Bancshares, Inc.F2 | holding | — | — | — | 20,407 | I | 401-K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $12.32 | Dec 11, 2017 | X | 3,400 | D | May 18, 2011 | May 18, 2021 | Common Stock | 3,400 | 10,200 | D |
| Stock Options (Right to Buy) | $11.70 | Dec 11, 2017 | X | 816 | D | May 23, 2012 | May 23, 2022 | Common Stock | 816 | 3,264 | D |
| Stock Options (Right to Buy) | $12.44 | Dec 11, 2017 | X | 816 | D | May 15, 2013 | May 15, 2023 | Common Stock | 816 | 4,080 | D |
| Stock Options (Right to Buy) | $13.15 | Dec 11, 2017 | X | 816 | D | May 21, 2014 | May 21, 2024 | Common Stock | 816 | 4,895 | D |
| Stock Options (Right to Buy) | $12.37 | Dec 11, 2017 | X | 1,248 | D | May 20, 2015 | May 20, 2025 | Common Stock | 1,248 | 8,736 | D |
| Stock Options (Right to Buy) | $14.15 | Dec 11, 2017 | X | 1,248 | D | May 18, 2016 | May 18, 2026 | Common Stock | 1,248 | 9,984 | D |
| Stock Options (Right to Buy) | $15.57 | Dec 11, 2017 | X | 1,248 | D | May 17, 2017 | May 17, 2027 | Common Stock | 1,248 | 11,232 | D |
| Stock Options (Right to Buy) | $12.12 | holding | — | — | — | Jan 19, 2012 | Jan 19, 2021 | Common Stock | 1,285 | 1,285 | D |
Explanation of responses
- F1Average price of 18 lots with a low price of $16.52 and a high price of $16.63.
- F2Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.