SEC Form 4 · accession 0001493225-17-000073
Northfield Bancorp, Inc. · NFBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Wade Alexander
Officer — Chairman & CEO · Director
Period of report
Oct 31, 2017
Accepted (ET)
Nov 1, 2017 · 9:09 am EDT
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 | Oct 31, 2017 | D | 85,247 | $0.00 | D | 380,416 | D | |
| Common Stock | holding | — | — | — | 29,967 | 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 OptionsF2 | $13.13 | Oct 31, 2017 | D | 104,712 | D | Jun 11, 2015 | Jun 11, 2024 | Common Stock | 104,712 | 280,056 | D |
| Stock OptionsF2 | $14.76 | Oct 31, 2017 | D | 99,197 | D | May 27, 2016 | May 24, 2025 | Common Stock | 99,197 | 125,803 | D |
| Stock Appreciation Rights | $7.085 | holding | — | — | — | Jan 30, 2010 | Jan 30, 2019 | Common Stock | 170,400 | 170,400 | D |
Explanation of responses
- F1Represents shares of restricted stock that were previously reported as beneficially owned by the reporting person, but were subsequently forfeited due to the reporting person's retirement.
- F2Represents stock options that were previously reported as beneficially owned by the reporting person but were subsequently forfeited due to the reporting person's retirement.