SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/01/2018 | 3. Issuer Name and Ticker or Trading Symbol VALLEY NATIONAL BANCORP [ VLY ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1,814,890 | D | |
Common Stock (Roth IRA) | 141,459 | D | |
Common Stock | 729,700 | I | Spouse |
Common Stock | 211,468 | I | Spouse as Trustee (Jennifer W. Steans 1999 Descendants Trust)(1) |
Common Stock | 33,842 | I | Spouse - Roth IRA |
Common Stock | 868,890 | I | Trustee (Steans 1996 Family Trust)(2) |
Common Stock | 417,599 | I | Held by partnership (Trilogy Investment Group, LLC)(3) |
Common Stock | 27,450 | I | Held by partnership (PCB, LP)(4) |
Common Stock | 347,419 | I | Held in custody for son |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. By James Kastenholz (the spouse of the Reporting Person) as trustee of the Jennifer Steans 1999 Descendants Trust. The Reporting Person disclaims beneficial ownership ofthese securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownershipof the reported shares for purposes of Section 16 or any other purpose. |
2. By the Steans 1996 Family Trust, over which the Reporting Person is one of three co-trustees. The Reporting Person disclaims beneficial ownership of these securities exceptto the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported sharesfor purposes of Section 16 or any other purpose. |
3. By Trilogy Investment Group, LLC, of which the Reporting Person is one of three managing members. The Reporting Person disclaims beneficial ownership of thesesecurities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of thereported shares for purposes of Section 16 or any other purpose. |
4. By PCB Limited Partnership of which the Reporting Person is one of three general partners. The Reporting Person disclaims beneficial ownership of these securities exceptto the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported sharesfor purposes of Section 16 or any other purpose. |
Remarks: |
/s/ JENNIFER W. STEANS | 01/08/2018 | |
** 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 5 (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 Number. |