0001564590-19-034329.txt : 20190909 0001564590-19-034329.hdr.sgml : 20190909 20190909120452 ACCESSION NUMBER: 0001564590-19-034329 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190904 ITEM INFORMATION: Other Events FILED AS OF DATE: 20190909 DATE AS OF CHANGE: 20190909 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16197 FILM NUMBER: 191082410 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 8-K 1 pgc-8k_20190904.htm 8-K pgc-8k_20190904.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549 

____________

 

FORM 8-K

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of report (Date of earliest event reported)

September 4, 2019

 

PEAPACK-GLADSTONE FINANCIAL CORPORATION

(Exact Name of Registrant as Specified in Charter)

 

New Jersey

001-16197

22-3537895

(State or Other Jurisdiction

(Commission

(I.R.S. Employer

of Incorporation)

File Number)

Identification No.)

 

500 Hills Drive, Suite 300, Bedminster, New Jersey

07921

(Address of Principal Executive Offices)

(Zip Code)

 

Registrant’s telephone number, including area code

(908) 234-0700

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

 

Trading

Symbol(s)

 

Name of each exchange on which registered

Common

 

PGC

 

The Nasdaq Stock Market LLC

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter). _____

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 (a) of the Exchange Act. ______

 


 

Item 8.01.

Other Events.

On September 4, 2019, Eric H. Waser, Executive Vice President of Peapack-Gladstone Bank, the wholly owned subsidiary of Peapack-Gladstone Financial Corporation (the “Company”), entered into a stock trading plan to sell 12,000 shares of common stock over a three-month period. The trading plan, which becomes effective in September 2019, is designed to comply with Rule 10b5-1 of the Securities Exchange Act of 1934.  In accordance with Rule 10b5-1, officers of a public company may adopt a plan for selling stock of the public company when the officer is not in possession of material, non-public information about the company.

 

Mr. Waser entered into the plan for tax and financial planning purposes.  Following the completion of the plan, Mr. Waser will still maintain a substantial ownership position and will continue to be in compliance with the stock ownership requirements for executive officers as required by the Company’s stock ownership guidelines.  The stock transactions under the plan will be disclosed publicly through filings made with the Securities and Exchange Commission.

 

 

 


 

 


 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

PEAPACK-GLADSTONE FINANCIAL CORPORATION

 

 

 

 

 

 

 

 

 

 

 

 

Dated:

September 9, 2019

By:

/s/Jeffrey J. Carfora

 

 

Name:

Jeffrey J. Carfora

 

 

Title:

Senior Executive Vice President and
Chief Financial Officer