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Northfield Bancorp, Inc. — Director's Dealing 2018
May 30, 2018
32835_dirs_2018-05-30_eb04c2c6-b447-4161-a1e6-22bf0ffbb537.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Northfield Bancorp, Inc. (NFBK)
CIK: 0001493225
Period of Report: 2018-05-29
Reporting Person: Doherty Kenneth J (EVP & Chief Lending Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-29 | Common Stock | S | 2802 | $16.0834 | Disposed | 220017 | Direct |
| 2018-05-29 | Common Stock | S | 8000 | $16.1462 | Disposed | 212017 | Direct |
| 2018-05-30 | Common Stock | M | 29000 | $7.085 | Acquired | 241017 | Direct |
| 2018-05-30 | Common Stock | F | 12552 | $16.37 | Disposed | 228465 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-30 | Stock Appreciation Rights | $7.085 | M | 29000 | Disposed | 2019-01-30 | Common Stock (29000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 24974.9074 | Indirect |
| Common Stock | 3368.237 | Indirect |
| Common Stock | 44904.3692 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options | $13.13 | 2024-06-11 | Common Stock (207000.0) | 207000 | Direct |
| Stock Options | $14.67 | 2025-05-27 | Common Stock (75000.0) | 75000 | Direct |
Footnotes
F1: Represents shares sold by the Reporting Person to satisfy tax obligations in connection with the vesting of an equity award.
F2: The price reported in column 4 is a weighted average price. The shares were sold at prices ranging from $15.99 to $16.38, inclusive. The reporting person undertakes to provide to Northfield Bancorp, Inc., any security holder of Northfield Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F3: The price reported in column 4 is a weighted average price. The shares were sold at prices ranging from $16.07 to $16.36, inclusive. The reporting person undertakes to provide to Northfield Bancorp, Inc., any security holder of Northfield Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F4: Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.