SEC Form 4 · accession 0001493225-18-000029
Northfield Bancorp, Inc. · NFBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven M Klein
Officer — President & CEO · Director
Period of report
May 4, 2018
Accepted (ET)
May 8, 2018 · 4:40 pm 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,F2 | May 4, 2018 | S | 19,253 | $16.1031 | D | 310,743 | D | |
| Common Stock | May 4, 2018 | M | 70,000 | $7.085 | A | 380,743 | D | |
| Common Stock | May 4, 2018 | F | 31,095 | $15.95 | D | 349,648 | D | |
| Common StockF3 | holding | — | — | — | 48,296 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 32,618 | 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 Appreciation Rights | $7.085 | May 4, 2018 | M | 70,000 | D | Jan 30, 2010 | Jan 30, 2019 | Common Stock | 70,000 | 82,730 | D |
| Stock Options | $13.13 | holding | — | — | — | Jun 11, 2015 | Jun 11, 2024 | Common Stock | 278,000 | 278,000 | D |
| Stock Options | $14.76 | holding | — | — | — | May 27, 2016 | May 27, 2025 | Common Stock | 135,000 | 135,000 | D |
| Stock Options | $16.89 | holding | — | — | — | Nov 1, 2018 | Nov 1, 2027 | Commom Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Represents shares sold by the Reporting Person to satisfy tax obligations in connection with an exercise of stock appreciation rights.
- F2The price reported in column 4 is a weighted average price. The shares were sold at prices ranging from $16.0800 to $16.1550, inclusive. The reporting person undertakes to provide to Northfield Bancorp, Inc., any security holder of Northfield Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
- F3Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.