SEC Form 4/A · accession 0001493225-17-000001
Northfield Bancorp, Inc. · NFBK
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
John Wade Alexander
Officer — Chairman & CEO · Director
Period of report
Dec 16, 2016
Accepted (ET)
Jan 6, 2017 · 3:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001493225
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 16, 2016 | M | 70,571 | $7.085 | A | 505,946 | D | |
| Common Stock | Dec 16, 2016 | F | 25,368 | $19.71 | D | 480,578 | D | |
| Common Stock | Dec 16, 2016 | M | 15,232 | $13.13 | A | 495,810 | D | |
| Common Stock | Dec 16, 2016 | F | 10,147 | $19.71 | D | 485,663 | D | |
| Commonn Stock | Dec 16, 2016 | S | 1,999 | $19.8286 | D | 38,036 | I | By IRA |
| Commonn Stock | Dec 16, 2016 | S | 9,553 | $19.8147 | D | 28,483 | I | By IRA |
| Commonn Stock | Dec 19, 2016 | S | 9,304 | $19.611 | D | 19,179 | I | By IRA |
| Commonn Stock | Dec 19, 2016 | S | 19,179 | $19.5095 | D | 0 | I | By IRA |
| Common Stock | Dec 16, 2016 | S | 15,128 | $19.8227 | D | 41,787 | I | By Spouse's IRA |
| Common Stock | Dec 19, 2016 | S | 10,260 | $19.6185 | D | 31,527 | I | By Spouse's IRA |
| Common Stock | Dec 19, 2016 | S | 31,527 | $19.5446 | D | 0 | I | By Spouse's IRA |
| Common Stock | Dec 16, 2016 | S | 1,858 | $19.8204 | D | 0 | I | By Spouse's IRA 2 |
| Common Stock | Dec 16, 2016 | S | 6,453 | $19.8043 | D | 0 | I | By Spouse's IRA 3 |
| Common Stock | Dec 16, 2016 | S | 3,629 | $19.8043 | D | 13,135 | I | By Spouse's IRA 4 |
| Common Stock | Dec 19, 2016 | S | 8,190 | $19.6124 | D | 4,945 | I | By Spouse's IRA 4 |
| Common Stock | Dec 19, 2016 | S | 4,945 | $19.5054 | D | 0 | I | By Spouse's IRA 4 |
| Common Stock | holding | — | — | — | 27,359 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $7.085 | Dec 16, 2016 | M | 70,571 | D | Jan 30, 2010 | Jan 30, 2019 | Common Stock | 70,571 | 520,400 | D |
| Stock Options | $13.13 | Dec 16, 2016 | M | 15,232 | D | Jun 11, 2015 | Jun 11, 2024 | Common Stock | 15,232 | 384,768 | D |
| Stock Options | $14.76 | holding | — | — | — | May 27, 2016 | May 27, 2025 | Common Stock | 225,000 | 225,000 | D |
Explanation of responses
- F1Mr. Alexander's shares no longer include shares held by two adult children who no longer reside in his household.