SEC Form 4 · accession 0001493225-18-000037
Northfield Bancorp, Inc. · NFBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Doherty
Officer — EVP & Chief Lending Officer
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 5:28 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 10, 2018 | S | 2,449 | $16.1858 | D | 198,742 | D | |
| Common StockF1,F3 | May 11, 2018 | S | 10,000 | $15.9574 | D | 188,742 | D | |
| Common Stock | May 14, 2018 | M | 45,000 | $7.085 | A | 233,742 | D | |
| Common Stock | May 14, 2018 | F | 20,205 | $15.78 | D | 213,537 | D | |
| Common StockF1,F4 | May 14, 2018 | S | 7,400 | $15.8731 | D | 206,137 | D | |
| Common Stock | holding | — | — | — | 24,975 | I | By ESOP | |
| Common StockF5 | holding | — | — | — | 44,692 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 3,368 | I | By Spouse |
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 | May 14, 2018 | M | 45,000 | D | Jan 30, 2010 | Jan 30, 2019 | Common Stock | 45,000 | 187,856 | D |
| Stock Options | $13.13 | holding | — | — | — | Jun 11, 2015 | Jun 11, 2024 | Common Stock | 207,000 | 207,000 | D |
| Stock Options | $14.67 | holding | — | — | — | May 27, 2016 | May 27, 2025 | Common Stock | 75,000 | 75,000 | 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 $16.16 to $16.20, 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.
- F3The price reported in column 4 is a weighted average price. The shares were sold at prices ranging from $15.92 to $16.00, 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.
- F4The price reported in column 4 is a weighted average price. The shares were sold at prices ranging from $15.86 to $15.93, 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.
- F5Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.