Statement of Changes in Beneficial Ownership (4)
March 08 2022 - 4:59PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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Schlesinger Allyson Katz |
2. Issuer Name and Ticker or Trading Symbol
Columbia Financial, Inc.
[
CLBK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Head of Consumer Banking |
(Last)
(First)
(Middle)
19-01 ROUTE 208 NORTH |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/4/2022 |
(Street)
FAIR LAWN, NJ 07410
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/4/2022 | | A | | 963.6441 (1) | A | $21.41 | 7676.8206 | I | By Stock-Based Deferral Plan |
Common Stock | 3/4/2022 | | P | | 2344 | A | $21.36 (2) | 22342 | D | |
Common Stock | | | | | | | | 2418 | I | By ESOP |
Common Stock | | | | | | | | 2282 | I | By SERP |
Common Stock | | | | | | | | 2810 (3) | I | By SIM |
Common Stock | | | | | | | | 50770 | I | By Stock Award (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (right to buy) | $15.6 | | | | | | | 7/23/2020 (5) | 7/23/2029 | Common Stock | 155294.0 | | 155294 | D | |
Explanation of Responses: |
(1) | Represents phantom stock purchased, on a non-discretionary basis, by the trustee of the Bank's rabbi trust maintained in connection with the Columbia Bank Stock Based Deferral Plan, a non-qualified stock-based deferral plan. Stock unit interests under the Columbia Bank Stock Based Deferral Plan will be settled in shares of stock upon distribution to the reporting person. |
(2) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $21.35 to $21.37, inclusive. The reporting person undertakes to provide to Columbia Financial, Inc., any security holder of Columbia Financial, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote. |
(3) | This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to rule 16b-3(c). |
(4) | Stock Awards granted pursuant to the Columbia Financial, Inc. 2019 Equity Incentive Plan, 50% of which vest in five approximately equal annual installments commencing on July 23, 2020; and the remaining 50% of which vest upon achievement of certain specified performance-based vesting criteria, which if achieved, such Awards would vest three years after the date of the Award. |
(5) | Stock Options granted pursuant to the Columbia Financial, Inc. 2019 Equity Incentive Plan vest in five approximately equal annual installments commencing on July 23, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Schlesinger Allyson Katz 19-01 ROUTE 208 NORTH FAIR LAWN, NJ 07410 |
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| EVP & Head of Consumer Banking |
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Signatures
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/s/ Dennis E. Gibney, Power of Attorney | | 3/8/2022 |
**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 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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