SEC Form 5 · accession 0001209191-16-098554
SEACOAST BANKING CORP OF FLORIDA · SBCF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Goldman
Director · Other
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 1:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000730708
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 26, 2015 | G | 100 | $0.00 | D | 1,572 | D | |
| Common StockF2,F3 | Dec 21, 2015 | J | 2,000 | $0.00 | D | 12,260 | D | |
| Common StockF2 | Dec 21, 2015 | J | 2,000 | $0.00 | A | 3,572 | D | |
| Common StockF2,F3 | Dec 30, 2015 | J | 2,000 | $0.00 | D | 10,260 | D | |
| Common StockF2 | Dec 30, 2015 | J | 2,000 | $0.00 | A | 5,572 | D | |
| Common StockF4 | holding | — | — | — | 35,460 | D | ||
| Common StockF5 | holding | — | — | — | 2,000 | I | Held by spouse | |
| Common Stock | holding | — | — | — | 1,600 | I | Held in spouse's IRA | |
| Common Stock | holding | — | — | — | 1,200 | I | Held in Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Right to BuyF6,F7 | $10.78 | holding | — | — | — | Apr 1, 2014 | Mar 1, 2024 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Gifted shares
- F2Transferred shares out of IRA to individual ownership; no change in beneficial ownership
- F3Held in IRA; shares voting and investment power
- F4Held in Seacoast's Non-Employee Directors Deferred Compensation Plan for which receipt of such shares has been deferred, and as to which shares Mr. Goldman has no voting or dispositive power
- F5Shares previously reported as held directly
- F6Granted pursuant to Seacoast Banking Corporation of Florida's 2013 Incentive Plan and the agreement with Mr. Goldman for his service as Lead Director
- F7Vests in equal monthly installments (approximately 2.78%) at the end of each of the first thirty-six (36) months following the Grant Date (03/01/2014), provided that Optionee remains in Continuous Service on each applicable vesting date. Notwithstanding the vesting schedule, the Option may become vested and exercisable as to one-half of the then-unvested Shares in the event of the termination of Optionee's Continuous Service by reason of death or Disability. In addition, the Option shall become fully vested and exercisable upon the earliest of (i) the occurrence of a Change in Control, or (ii) the termination of Optionee's Continuous Service, or status as Lead Director, by the Company for any reason (including any situation in which Optionee is not re-elected to the Company's Board or as Lead Director).