SEC Form 4/A · accession 0001209191-16-150004
SEACOAST BANKING CORP OF FLORIDA · SBCF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Roger Goldman
Director · Other
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 9:30 am 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 Stock | Nov 10, 2016 | M | 10,000 | $10.78 | A | 14,572 | D | |
| Common StockF1 | holding | — | — | — | 39,462 | D | ||
| Common StockF2 | holding | — | — | — | 10,260 | D | ||
| Common StockF3 | holding | — | — | — | 1,600 | I | Held in spouse's IRA | |
| Common StockF4 | holding | — | — | — | 1,200 | I | Held in Trust | |
| Common Stock | holding | — | — | — | 2,000 | I | Held by spouse |
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 BuyF5,F6 | $10.78 | Nov 10, 2016 | X | 10,000 | D | Apr 1, 2014 | Mar 1, 2024 | Common Stock | 10,000 | 190,000 | D |
| Common Stock Right to BuyF7 | $14.39 | holding | — | — | — | Feb 3, 2016 | Feb 2, 2026 | Common Stock | 3,419 | 3,419 | D |
Explanation of responses
- F1Held in Seacoast's Non-employee Directors Deferred Compensation Plan
- F2Held in IRA; shares voting and investment power
- F3Shares voting and investment power
- F4Held in special needs trust for which spouse is trustee; disclaims beneficial ownership.
- F5Granted pursuant to Seacoast Banking Corporation of Florida's 2013 Incentive Plan
- F6Vests 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).
- F7Granted pursuant to Seacoast Banking Corporation of Florida's 2013 Incentive Plan and the agreement with Mr. Goldman for his service as Lead Director