SEC Form 4 · accession 0000927089-18-000091
PRUDENTIAL BANCORP, INC. · PBIP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack E Rothkopf
Officer — SVP, CFO and Treasurer
Period of report
Feb 18, 2018
Accepted (ET)
Feb 21, 2018 · 3:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001578776
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 18, 2018 | F | 1,085 | $17.70 | D | 18,856 | D | |
| Common StockF3 | holding | — | — | — | 19,680 | 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 OptionF4 | $12.23 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF5 | $11.84 | holding | — | — | — | Jan 5, 2010 | Jan 5, 2019 | Common Stock | 18,683 | 18,683 | D |
| Stock OptionF6 | $7.68 | holding | — | — | — | Jan 5, 2014 | Jan 5, 2023 | Common Stock | 5,901 | 5,901 | D |
Explanation of responses
- F1Disposition solely to meet tax obligations upon vesting of a grant of restricted shares pursuant to the 2014 Stock Incentive Plan ("2014 SIP").
- F2Also includes 6,000 shares which reflects the unvested portion of a grant originally covering 15,000 shares pursuant to the 2014 SIP that vest 20% per year commencing on February 18, 2016.
- F3Reflects shares allocated to the reporting person's account in the issuer's employee stock ownership plan.
- F4The options are vesting at a rate of 20% per year commencing on February 18, 2016.
- F5The options vested at a rate of 20% per year commencing on January 5, 2010.
- F6The options vested at a rate of 20% per year commencing on January 5, 2014.