0001273412-18-000062.txt : 20180328 0001273412-18-000062.hdr.sgml : 20180328 20180328123331 ACCESSION NUMBER: 0001273412-18-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180326 FILED AS OF DATE: 20180328 DATE AS OF CHANGE: 20180328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BABCOCK JOHN P CENTRAL INDEX KEY: 0001602623 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16197 FILM NUMBER: 18717674 MAIL ADDRESS: STREET 1: 500 HILLS DRIVE STREET 2: SUITE 300 CITY: BEDMINSTER STATE: NJ ZIP: 07921 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEAPACK GLADSTONE FINANCIAL CORP CENTRAL INDEX KEY: 0001050743 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 223537895 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 HILLS DRIVE CITY: BEDMINSTER STATE: NJ ZIP: 07921 BUSINESS PHONE: 9082340700 MAIL ADDRESS: STREET 1: 500 HILLS DRIVE CITY: BEDMINSTER STATE: NJ ZIP: 07921 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-03-26 0001050743 PEAPACK GLADSTONE FINANCIAL CORP PGC 0001602623 BABCOCK JOHN P 500 HILLS DRIVE, SUITE 300 PO BOX 700 BEDMINSTER NJ 07921-1538 0 1 0 0 SEVP & Pres of Priv Wealth Mgt Common Stock 2018-03-26 4 D 0 25681 33.50 D 49299.67 D Common Stock 3841 I Rabbi Trust Common Stock 5324.9854 I 401(k) Restricted Stock Unit Common Stock 10614 21069 D Restricted Stock Unit Common Stock 1995 1995 D Restricted Stock Unit Common Stock 10614 10614 D On March 11, 2014, 25,681 shares of restricted stock were granted subject to reaching certain performance conditions over the 5 year vesting period. On March 26, 2018 these shares were forfeited due to those certain performance conditions not being satisfied. 10,804 shares held in trust Held indirectly through a rabbi trust pursuant to a non-qualified deferred compensation plan. Includes 401(K) contributions used to purchase PGC stock. Each restricted stock unit represents a contingent right to receive one share of common stock of Peapack-Gladstone Financial Corporation. The restricted stock units vest and settle in stock in three approximately equal installments on each of the first three anniversaries of the grant date. The restricted stock units vest and settle in stock in five approximately equal installments on each of the first five anniversaries of the grant date. Each restricted stock unit represents the right to receive one share of common stock of Peapack-Gladstone Financial Corporation subject to certain performance conditions. The units will cliff vest, after three years, if the conditions are met. The restricted stock units will cliff vest on the third anniversary of the grant date subject to certain performance conditions being satisfied. John P. Babcock 2018-03-28