SEC Form 4/A · accession 0001180220-16-000087
LAKELAND BANCORP INC · LBAI
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
Stewart E McClure Jr.
Officer — Reg Pres of Lakeland Bank
Period of report
Oct 31, 2016
Accepted (ET)
Nov 10, 2016 · 2:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000846901
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 31, 2016 | M | 4,847 | $9.20 | A | 144,802 | D | |
| Common Stock | Oct 31, 2016 | M | 13,188 | $5.99 | A | 157,990 | D | |
| Common Stock | Oct 31, 2016 | M | 12,560 | $7.83 | A | 170,550 | D | |
| Common Stock | Oct 31, 2016 | M | 10,048 | $6.25 | A | 180,598 | D | |
| Common StockF1 | Oct 31, 2016 | S | 35,796 | $14.20 | D | 144,802 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $9.20 | Oct 31, 2016 | M | 4,847 | D | May 31, 2013 | May 23, 2017 | Common Stock | 4,847 | 35,796 | D |
| Stock Option (right to buy) | $5.99 | Oct 31, 2016 | M | 13,188 | D | May 31, 2013 | Feb 1, 2020 | Common Stock | 13,188 | 23 | D |
| Stock Option (right to buy) | $7.83 | Oct 31, 2016 | M | 12,560 | D | May 31, 2013 | Feb 2, 2021 | Common Stock | 12,560 | 10,048 | D |
| Stock Option (right to buy) | $6.25 | Oct 31, 2016 | M | 10,048 | D | May 31, 2013 | Oct 25, 2021 | Common Stock | 10,048 | 0 | D |
Explanation of responses
- F1Includes 28,524 RSU's that have not yet vested. 1,412 shares previously reported as indirect ownership are no longer reportable, as the beneficial ownership "held by spouse as custodian for children" no longer applies since children are now of legal age and not living with parents.