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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 | ||||||||
Director Stock Option Right to Purchase | $ 5.485 | 03/16/2011 | M | 2,100 | (2) | 05/17/2011 | Common | 2,100 | $ 5.485 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCRACKEN ROBERT E C/O LAKELAND BANCORP, INC. 250 OAK RIDGE ROAD OAK RIDGE, NJ 07438 |
X |
Harry Cooper POA | 03/17/2011 | |
**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) | D: Mr. McCracken holds 14,952 shares directly (including 76 DRP shares and 608 shares acquired as part of a 5% stock dividend paid on February 16, 2011), 3,407 shares held as custodian for his children (including 22 DRP shares and 162 shares acquired as part of a 5% stock dividend paid on February 16, 2011), and 32 shares held jointly with his wife (including one share acquired as part of a 5% stock dividend paid on February 16, 2011. I: 64,687 shares (including 382 DRP shares and 3,062 shares acquired as part of a 5% stock dividend paid on February 16, 2011) held by R.E.M., LLC of which Mr. McCracken is the sole Managing Member; 13,175 shares (including 627 shares acquired as part of a 5% stock dividend paid on February 16, 2011) held by the McCracken Family Trust of which Mr. McCracken is a co-trustee; and 8,947 shares (including 426 shares acquired as part of a 5% stock dividend on February 16, 2011) held by The Shirley McCracken Irrevocable Trust of which Mr. McCracken is a trustee |
(2) | Stock options issued by Newton Financial Corp. on 5/23/01 and vested immediately. Exchanged for Lakeland Bancorp, Inc. stock options pursuant to merger on 7/1/04. |