SEC Form 4 · accession 0001389477-15-000003
FLUSHING FINANCIAL CORP · FFIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Hartmann
Officer — Executive Vice President
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000923139
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 9, 2015 | M | 1,100 | $17.88 | A | 23,048 | D | |
| Common StockF2 | Mar 9, 2015 | F | 1,036 | $19.72 | D | 22,012 | D | |
| Common StockF3 | Mar 9, 2015 | S | 899 | $19.72 | D | 21,113 | D | |
| Common StockF4 | holding | — | — | — | 22,240 | I | 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option Exercise (Right to Buy)F1 | $17.88 | Mar 9, 2015 | M | 1,100 | D | — | Jun 22, 2015 | Common Stock | 1,100 | 0 | D |
| Phantom Stock UnitsF5,F6 | — | holding | — | — | — | — | — | Common Stock | 1,181 | 1,181 | D |
Explanation of responses
- F1Stock option exercise from 6/21/2005 grant.
- F2Shares withheld to satisfy option price and taxes.
- F3All shares sold at $19.72.
- F4Shares held in FB 401k Savings Plan a/o 3/3/2015.
- F51:1
- F6Includes amounts credited to Mr. Hartmann's account through 3/11/2015. The vested amount will paid in a cash lump sum or installments as elected by the reporting officer upon termination of employment (in accordance with IRS 49A).