SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
DeLucia Vincent L.

(Last) (First) (Middle)
400 RELLA BOULEVARD

(Street)
MONTEBELLO NY 10901

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/23/2014
3. Issuer Name and Ticker or Trading Symbol
STERLING BANCORP [ STL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Hudson Valley Market Pres
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 16,730 D
Common Stock 22,325 I By 401(K)
Common Stock 19,929 I By ESOP
Common Stock 2,334(1) D
Common Stock 2,201(2) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) 10/24/2014(3) 10/24/2023 Common Stock 10,081 $11.36 D
Employee Stock Option (right to buy) 11/20/2013(4) 11/20/2022 Common Stock 11,000 $9 D
Employee Stock Option (right to buy) 10/27/2012(5) 10/27/2021 Common Stock 26,000 $7.63 D
Employee Stock Option (right to buy) 07/27/2011(6) 07/27/2020 Common Stock 5,000 $10.03 D
Employee Stock Option (right to buy) 07/01/2007(6) 07/01/2016 Common Stock 5,000 $13.4 D
Employee Stock Option (right to buy) 03/10/2005(7) 03/10/2015 Common Stock 10,000 $12.84 D
Explanation of Responses:
1. Grant of Restricted Stock (3,500 shares of common stock) in three installments commencing on 11/20/2013; 2,334 shares remaining to vest in two isntallments of 1,167 shares each on 11/20/2014 and 11/20/2015.
2. Grant of Restricted Stock (2,201 shares of common stock) subject to time-based vesting in installments of 733 shares on 10/24/2014, 734 shares on 10/24/2015, and 734 shares on 10/24/2016.
3. Represents stock option plan grant of 10,081 shares, which vest in three installments of 3,360 shares on 10/24/2014, 3,360 shares on 10/24/2015, and 3,361 shares on 10/24/2016.
4. Represents stock option plan grant of 11,000 shares, which vest in three installments of 3,666 shares on 11/20/2013; 3,666 shares on 11/20/2014, and 3,668 shares on 11/20/2015.
5. Represents stock option plan grant of 26,000 shares, which vest in four equal installments of 6,500 shares, commencing on 10/27/2012.
6. Represents stock option plan grant of 5,000 shares, which have fully vested.
7. Represents stock option plan grant of 10,000 shares, which have fully vested.
Remarks:
Vincent L. DeLucia 10/01/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.