SB ONE BANCORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-04-30: Reporting owner DAGOSTA DOMINICK; Form 4; Security c; Transaction Holding.
- 2017-11-27: Reporting owner BRANCA RICHARD; Form 4; Security C; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-29: Reporting owner LISTA GEORGE; Form 4/A; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-07-29: Reporting owner Brady Patrick; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-04-30 holding as of filing | DAGOSTA DOMINICK Director | 4 | c Non-derivative · Direct | Holding | 2,108 owned after | no price filed | 2018-04-30 | |
| 2017-11-27 | BRANCA RICHARD Director | 4 | C Non-derivative · Indirect · by Dir. Deferred Comp. Agreement | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31 13,375 owned after | $0.00 | 2017-11-29 | |
| 2013-07-29 | LISTA GEORGE Officer (CEO - Tri-State Ins. Agency) | 4/A | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −62,475 0 owned after | $6.00 exercise price | 2013-08-08 | |
| 2013-07-29 | Brady Patrick Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −23,809 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | BRANCA RICHARD Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −71,429 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | HONTZ MARK J Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,443 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | KOVACH DONALD L Director | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −5,714 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | KOVACH DONALD L Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −16,194 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LISTA GEORGE Officer (CEO - Tri-State Ins. Agency) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −28,571 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | MARVIL TIMOTHY Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −45,023 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | ABBATE ANTHONY S Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −52,029 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | Ursin John E Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · by IRA | X Exercise of in-the-money or at-the-money derivative security | −38,571 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | SCOTT RICHARD W Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,200 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LABOZZETTA ANTHONY J Director, Officer (President and CEO) | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −181,247 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LABOZZETTA ANTHONY J Director, Officer (President and CEO) | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,717 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LABOZZETTA ANTHONY J Director, Officer (President and CEO) | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,723 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LABOZZETTA ANTHONY J Director, Officer (President and CEO) | 4 | Subscription Rights Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −4,749 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | CARISTIA KATHERINE H Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −19,049 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LEPPERT EDWARD J Director | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −50,111 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LEPPERT EDWARD J Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −5,271 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LEPPERT EDWARD J Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −10,143 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | LEPPERT EDWARD J Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −43,520 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | Breitenstein Kurt Officer (EVP & Senior Lending Officer) | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −22,726 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | Fusco Steven Mark Anthony Officer (EVP and CFO) | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −31,634 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | Fusco Steven Mark Anthony Officer (EVP and CFO) | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −4,080 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2013-07-29 | McNerney Robert Director | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,309 0 owned after | $6.00 exercise price | 2013-08-07 | |
| 2008-12-03 | Brady Patrick Director | 4 | Candace Leatham Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +500 7,368 owned after | $3.66 | 2008-12-04 |