Statement of Changes in Beneficial Ownership (4)
14 11월 2017 - 6:18AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jenkins Julie
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2. Issuer Name
and
Ticker or Trading Symbol
NORTHEAST BANCORP /ME/
[
NBN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP/Director of Operations
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(Last)
(First)
(Middle)
C/O NORTHEAST BANCORP
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/9/2017
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(Street)
LEWISTON, ME 04240
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Voting Common Stock
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11/9/2017
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M
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7500
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A
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$12.63
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28876
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D
(1)
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Voting Common Stock
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11/9/2017
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F
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5157
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D
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$23.50
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23719
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D
(1)
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Voting Common Stock
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11/9/2017
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M
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5510
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A
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$9.38
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29229
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D
(1)
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Voting Common Stock
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11/9/2017
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F
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3274
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D
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$23.50
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25955
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$12.63
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11/9/2017
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M
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7500
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(2)
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1/27/2022
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Voting Common Stock
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7500
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$0
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0
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D
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Stock Option (Right to Buy)
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$9.38
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11/9/2017
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M
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5510
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(3)
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1/31/2023
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Voting Common Stock
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5510
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$0
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2755
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D
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Explanation of Responses:
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(1)
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Includes restricted stock awards granted to the reporting person under the Northeast Bancorp Amended and Restated 2010 Stock Option and Incentive Plan which vest as follows: 1,319 restricted shares vesting in three equal installments, commencing January 31, 2016, 5,000 restricted shares vesting in three equal installments, commencing August 21, 2017, 5,000 restricted shares vesting in three equal installments, commencing September 21, 2018, and 10,000 restricted shares vesting in three equal installments, commencing August 25, 2019.
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(2)
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Non-qualified time-based stock option awards granted to the reporting person under the Northeast Bancorp Amended and Restated 2010 Stock Option and Incentive Plan which vest in three equal installments commencing January 27, 2015
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(3)
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Non-qualified time-based stock option awards granted to the reporting person under the Northeast Bancorp Amended and Restated 2010 Stock Option and Incentive Plan, which vest in three equal installments commencing January 31, 2016.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Jenkins Julie
C/O NORTHEAST BANCORP
LEWISTON, ME 04240
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SVP/Director of Operations
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Signatures
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/s/ Julie Jenkins
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11/9/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Northeast Bank (NASDAQ:NBN)
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Northeast Bank (NASDAQ:NBN)
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부터 8월(8) 2023 으로 8월(8) 2024