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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option/NQ | $ 11.91 | 11/15/2011 | 11/15/2020 | Common Stock | 44,016 | 44,016 | D | ||||||||
Stock Options | $ 18.1 | 02/26/2005 | 02/26/2014 | Common Stock | 31,026 | 31,026 | D | ||||||||
Stock Options | $ 18.13 | 02/08/2006 | 02/08/2015 | Common Stock | 29,551 | 29,551 | D | ||||||||
Stock Options | $ 17.23 | 02/15/2007 | 02/15/2016 | Common Stock | 35,178 | 35,178 | D | ||||||||
Stock Options | $ 19.36 | 02/13/2008 | 02/13/2017 | Common Stock | 46,904 | 46,904 | D | ||||||||
Stock Options | $ 14.65 | 02/12/2009 | 02/12/2018 | Common Stock | 44,671 | 44,671 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LIPKIN GERALD H 1455 VALLEY ROAD WAYNE, NJ 07470- |
X | Chairman, President and CEO |
/s/ M. NASETTE ARANDA, AS ATTORNEY-IN-FACT | 02/04/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Restricted shares granted under the Valley National Bancorp 2009 Long Term Incentive Stock Plan. 75,605 of the shares are time-based with three-year equal vesting beginning at grant date. 75,605 of the shares are subject to performance-based vesting conditions over a three-year performance period, all of which may be forfeited in the event performance conditions are not satisfied. |
(2) | Holdings under the Valley 401K Plan has been updated to reflect reporting person's balance in the Plan. |