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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 | $ 12.23 | 02/18/2016(5) | 02/18/2025 | Common Stock | 11,000 | 11,000 | D | ||||||||
Stock Option | $ 10.24 | 06/19/2014(6) | 06/19/2023 | Common Stock | 10,171 | 10,171 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HANUSCIN JEFFREY C/O PRUDENTIAL BANCORP, INC. 1834 WEST OREGON AVENUE PHILADELPHIA, PA 19145 |
Vice President and Controller |
/s/Jack E. Rothkopf, Attorney-in-Fact for for Jeffrey Hanuscin | 06/23/2016 | |
**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) | Disposition solely to meet tax obligation upon vesting of grant of shares pursuant to the 2008 Recognition and Retention Plan and Trust. |
(2) | Includes 4,000 shares which reflects the unvested portion of grant originally covering 5,000 shares pursuant to the 2014 Stock Incentive Plan that vest 20% per year commencing on February 18, 2016. Also includes 1,474 shares held in the 2008 Recognition and Retention Plan and Trust which reflects the unvested portion of a grant award originally covering 3,682 shares of common stock that is vesting at the at the rate of 20% per year commencing on June 19, 2014. |
(3) | Reflects units which reflect share interests in the Issuer's 401(k) Plan. Also reflects units acquired in the Issuer's 401(k) Plan since the last ownership report filed by the reporting person. |
(4) | Reflect shares held in the Issuer's employee stock ownership plan. Reflects shares allocated since the last ownership report filed by the reporting person. |
(5) | The options vest at the rate of 20% per year commencing on February 18, 2016. |
(6) | The options are vesting at the rate of 20% per year commencing on June 19, 2014. |