Amended Statement of Changes in Beneficial Ownership (4/a)
March 16 2023 - 8:54AM
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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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Lebel Joseph III |
2. Issuer Name and Ticker or Trading Symbol
OCEANFIRST FINANCIAL CORP
[
OCFC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President and COO |
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(Last)
(First)
(Middle)
110 WEST FRONT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2023 |
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(Street)
RED BANK, NJ 07701
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/15/2023 |
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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| Series A Redeemable Preferred Stock | 3/15/2023 | | P | | 1000 | A | $21.99 | 3000 | D (1) | |
| Common Stock | | | | | | | | 213724 | D (2)(3) | |
| Common Stock | | | | | | | | 11875 | I | By ESOP |
| Common Stock | | | | | | | | 11270 | I | By 401(k) |
| Common Stock | | | | | | | | 783 | I | By Spouse |
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 Option (right to buy) | $14.55 | | | | | | | 6/17/2014 | 6/17/2023 | Common Stock | 11250.0 | | 11250 | D | |
| Stock Option (right to buy) | $17.75 | | | | | | | 3/1/2015 | 3/19/2024 | Common Stock | 4875.0 | | 4875 | D | |
| Stock Option (right to buy) | $17.37 | | | | | | | 3/1/2016 | 3/18/2025 | Common Stock | 30000.0 | | 30000 | D | |
| Stock Option (right to buy) | $17.28 | | | | | | | 3/1/2017 | 3/16/2026 | Common Stock | 37500.0 | | 37500 | D | |
| Stock Option (right to buy) | $29.01 | | | | | | | 3/15/2018 | 3/15/2027 | Common Stock | 45000.0 | | 45000 | D | |
| Stock Option (right to buy) | $27.4 | | | | | | | 3/1/2019 | 1/24/2028 | Common Stock | 15485.0 | | 15485 | D | |
| Stock Option (right to buy) | $25.2 | | | | | | | 3/1/2020 | 3/1/2029 | Common Stock | 100670.0 | | 100670 | D (4) | |
| Stock Option (right to buy) | $20.44 | | | | | | | 3/1/2021 | 2/28/2030 | Common Stock | 153585.0 | | 153585 | D (4) | |
| Explanation of Responses: |
| (1) | The actual title of this share class is "Depository shares, each representing a 1/40th Interest in a share of its 7.00 % Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A, par value $0.01 per share". |
| (2) | Due to a clerical error, the amount of common stock held by Mr. Lebel was inadvertently omitted at the time of the original filing. This form is being filed to include this holding. |
| (3) | Total includes shares of restricted common stock that have not yet vested. |
| (4) | Options vest in five equal annual installments beginning on the date first exercisable. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Lebel Joseph III
110 WEST FRONT STREET
RED BANK, NJ 07701 | X |
| President and COO |
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Signatures
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| /s/ Steven J. Tsimbinos, Power of Attorney | | 3/16/2023 |
| **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. |
| 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. |
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