Name and Address of Beneficial Owners | | Amount of Shares Owned and Nature of Beneficial Ownership(1) | | Percent of Shares of Common Stock Outstanding | | | Amount of Shares Owned and Nature of Beneficial Ownership(1) | | Percent of Shares of Common Stock Outstanding | | ||||||||||||||||
Five Percent Stockholders | | | | | | | | | | | | | | | | | | | | | | | ||||
Endicott Opportunity Partners IV 570 Lexington Avenue 37th Floor New York, New York 10022 | | | | 641,650(2)(3) | | | | | 7.7% | | | | | | 641,650(2)(3) | | | | | 7.7% | | | ||||
BlackRock, Inc. 55 East 52nd Street New York, New York 10055 | | | | 464,169(4) | | | | | 5.6% | | | | | | 487,744(4) | | | | | 5.8% | | | ||||
Basswood Capital Management, L.L.C. 645 Madison Avenue, 10th Floor New York, New York 10022 | | | | 439,345(5) | | | | | 5.3% | | | |||||||||||||||
EJF Capital LLC Emanual J. Friedman EJF Sidecar Fund, Series LLC EJF Financial Services Fund, LP EJF Financial Services GP, LLC 2107 Wilson Boulevard, Suite 410 Arlington, Virginia 22201 | | | | 426,051(5) | | | | | 5.1% | | | |||||||||||||||
Directors and Nominees | | | | | | | | | | | | | | | | | | | | | | | ||||
Mark R. DeFazio | | | | 351,743(6) | | | | | 4.1% | | | | | | 299,195(6) | | | | | 3.5% | | | ||||
Anthony J. Fabiano | | | | 3,493 | | | | | | | | |||||||||||||||
Dale C. Fredston | | | | 7,168 | | | | | * | | | | | | 8,168 | | | | | * | | | ||||
David M. Gavrin | | | | 58,555 | | | | | * | | | | | | 59,555 | | | | | * | | | ||||
David J. Gold | | | | 17,231 | | | | | * | | | | | | 17,231 | | | | | * | | | ||||
Harvey M. Gutman | | | | 11,691 | | | | | * | | | | | | 11,691 | | | | | * | | | ||||
Terence J. Mitchell | | | | 8,607 | | | | | | | | | | | 8,607 | | | | | | | | ||||
Robert C. Patent | | | | 160,212 | | | | | 1.9% | | | | | | 159,212 | | | | | 1.9% | | | ||||
Maria F. Ramirez | | | | 22,557(7) | | | | | * | | | | | | 23,557(7) | | | | | * | | | ||||
William Reinhardt | | | | 9,822 | | | | | * | | | | | | 11,292 | | | | | * | | | ||||
Robert Usdan | | | | 647,357(3)(8) | | | | | 7.8% | | | |||||||||||||||
George J. Wolf, Jr. | | | | 18,165 | | | | | * | | | | | | 18,165 | | | | | * | | | ||||
Named Executive Officers | | | | | | | | | | | | | | | | | | | | | | | ||||
Nick Rosenberg | | | | 19,080(9) | | | | | * | | | |||||||||||||||
Laura Capra | | | | 21,966 | | | | | * | | | |||||||||||||||
Scott Lublin | | | | — | | | | | * | | | | | | 29,881 | | | | | * | | | ||||
All directors and named executive officers as a group (17 persons) | | | | 1,359,018 | | | | | 15.9% | | | |||||||||||||||
All directors and named officers as a group (18 persons) | | | | 726,254 | | | | | 8.5% | | |
Director | | Audit Committee | | Compensation Committee | | Corporate Governance and Nominating Committee | | | Audit Committee | | Compensation Committee | | Corporate Governance and Nominating Committee | | ||||||||||||||||||||||||
Mark J. DeFazio | | | | | | | | | | | | | | | | | ||||||||||||||||||||||
Anthony J. Fabiano | | | | | | | | | | | | | | | | | ||||||||||||||||||||||
Dale C. Fredston | | | | X | | | | | | | | | | X* | | | | | | X | | | | | | | | | | X* | | | ||||||
David M. Gavrin | | | | | | | | | X* | | | | | X | | | | | | | | | | | X* | | | | | X | | | ||||||
David J. Gold | | | | X | | | | | | | | | | | | | | | | X | | | | | | | | | | X | | | ||||||
Harvey M. Gutman | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | X | | | ||||||
Terence J. Mitchell | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||||||
Robert C. Patent | | | | | | | | | X | | | | | X | | | | | | | | | | | X | | | | | | | | ||||||
Maria F. Ramirez | | | | X | | | | | X | | | | | X | | | | | | X | | | | | X | | | | | | | | ||||||
William Reinhardt | | | | X* | | | | | X | | | | | X | | | | | | X* | | | | | X | | | | | X | | | ||||||
Robert Usdan | | | | X | | | | | | | | | | | | | ||||||||||||||||||||||
George J. Wolf, Jr. | | | | | | | | | X | | | | | | | | | | | X | | | | | X | | | | | | | | ||||||
Number of Meetings in 2019 | | | | 8 | | | | | 5 | | | | | 2 | | | ||||||||||||||||||||||
Number of Meetings in 2020 | | | | 8 | | | | | 3 | | | | | 4 | | |
Director | | Operational Risk Management Committee | | ALCO Committee | | Asset Recovery Group Committee | | Loan Committee** | | | Operational Risk Management Committee | | ALCO | | Asset Recovery Group Committee | | Credit Committee** | | Compliance Oversight Committee | | ||||||||||||||||||||||||||||||||||||
Mark R. DeFazio | | | | X | | | | | X | | | | | X | | | | | X | | | | | | X | | | | | X | | | | | X | | | | | X | | | | | | | | |||||||||
Anthony J. Fabiano | | | | X | | | | | | | | | | | | | | | | | | | | | | | ||||||||||||||||||||||||||||||
Dale C. Fredston | | | | X | | | | | | | | | | | | | | | | | | | | | X | | | | | | | | | | | | | | | | | | | | X | | | |||||||||
David M. Gavrin | | | | | | | | | X* | | | | | | | | | | | | | | | | | | | | | X* | | | | | | | | | | | | | | | | | | |||||||||
David J. Gold | | | | | | | | | | | | | | X | | | | | X | | | | | | | | | | | | | | | | X | | | | | X | | | | | | | | |||||||||
Harvey M. Gutman | | | | X | | | | | | | | | | X | | | | | | | | | | | | | | | | | | | | | X | | | | | | | | | | | | | |||||||||
Terence J. Mitchell | | | | X | | | | | X | | | | | | | | | | | | | | | | X* | | | | | X | | | | | | | | | | | | | | | X* | | | |||||||||
Robert C. Patent | | | | | | | | | | | | | | X* | | | | | X* | | | | | | X | | | | | | | | | | X* | | | | | X* | | | | | | | | |||||||||
Maria F. Ramirez | | | | | | | | | X | | | | | | | | | | | | | | | | X | | | | | X | | | | | | | | | | | | | | | | | | |||||||||
William Reinhardt | | | | X* | | | | | X | | | | | X | | | | | X | | | | | | X | | | | | X | | | | | X | | | | | X | | | | | X | | | |||||||||
Robert Usdan | | | | | | | | | X | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||
George J. Wolf, Jr. | | | | X | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |||||||||
Number of Meetings in 2019 | | | | 4 | | | | | 4 | | | | | 4 | | | | | 38 | | | |||||||||||||||||||||||||||||||||||
Number of Meetings in 2020 | | | | 6 | | | | | 4 | | | | | 4 | | | | | 27 | | | | | *** | | |
Name and principal position | | Year | | Salary ($) | | Stock Awards ($)(1) | | Nonequity Incentive Plan Compensation ($) | | All Other Compensation ($)(2) | | Total ($) | | | Year | | Salary ($) | | Stock Awards ($)(1) | | Non-Equity Incentive Plan Compensation ($) | | All Other Compensation ($)(2) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||
Mark R. DeFazio President and CEO | | | | | 2019 | | | | | 700,000 | | | | | 430,371 | | | | | 500,000 | | | | | 64,960 | | | | | 1,695,331 | | | | | | | 2020 | | | | | 700,000 | | | | | 500,000 | | | | | 750,000 | | | | | 84,455 | | | | | 2,034,455 | | | ||||||||||
| | | 2018 | | | | | 700,000 | | | | | 2,729,400 | | | | | 650,000 | | | | | 24,530 | | | | | 4,103,930 | | | | | | 2019 | | | | | 700,000 | | | | | 430,371 | | | | | 500,000 | | | | | 64,960 | | | | | 1,695,331 | | | |||||||||||||
Nick Rosenberg EVP and Head of Global Payments | | | | | 2019 | | | | | 359,840 | | | | | 193,000 | | | | | 253,687 | | | | | 9,180 | | | | | 815,707 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 346,000 | | | | | — | | | | | 193,000 | | | | | 8,447 | | | | | 547,447 | | | ||||||||||||||||||||||||||||||||||||||||||||
Scott Lublin EVP and Chief Lending Officer(3) | | | | | 2019 | | | | | 416,000 | | | | | — | | | | | 286,000 | | | | | 9,180 | | | | | 711,180 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 270,952 | | | | | 1,395,900 | | | | | 250,000 | | | | | 3,972 | | | | | 1,920,824 | | | ||||||||||||||||||||||||||||||||||||||||||||
Scott Lublin EVP and Chief Lending Officer | | | | | 2020 | | | | | 432,640 | | | | | 286,000 | | | | | 297,440 | | | | | 9,330 | | | | | 1,025,410 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 416,000 | | | | | — | | | | | 253,687 | | | | | 9,960 | | | | | 679,647 | | | ||||||||||||||||||||||||||||||||||||||||||||
Laura Capra EVP and Head of Retail | | | | | 2020 | | | | | 338,468 | | | | | 255,073 | | | | | 220,156 | | | | | 9,330 | | | | | 823,027 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 294,320 | | | | | 144,855 | | | | | 358,967 | | | | | 9,960 | | | | | 808,322 | | |
Name | | Year | | Time Restricted Stock Awards | | Performance Stock Awards | | | Year | | Restricted Stock Units | | ||||||||||||||||||||
Mark R. DeFazio | | | | | 2019 | | | | | 11,193 | | | | | — | | | | | | 2020 | | | | | 9,486 | | | ||||
| | | 2018 | | | | | — | | | | | 60,000 | | | |||||||||||||||||
Nick Rosenberg | | | | | 2019 | | | | | 5,019 | | | | | — | | | |||||||||||||||
| | | 2018 | | | | | — | | | | | — | | | |||||||||||||||||
| | | | 2019 | | | | | 11,193 | | | |||||||||||||||||||||
Scott Lublin | | | | | 2019 | | | | | — | | | | | — | | | | | | 2020 | | | | | 5,632 | | | ||||
| | | 2018 | | | | | — | | | | | 30,000 | | | |||||||||||||||||
| | | | 2019 | | | | | — | | | |||||||||||||||||||||
Laura Capra | | | | 2020 | | | | | 4,155 | | | |||||||||||||||||||||
| | | | 2019 | | | | | 3,792 | | |
| | | All Other Compensation | | |||||||||||||||||||||||||||
Name | | | Life insurance premiums ($) | | | Transportation ($) | | | Housing allowance ($) | | | 401(k) Plan employer contribution ($) | | | Total ($) | | |||||||||||||||
Mark R. DeFazio | | | | | 780 | | | | | | 15,780 | | | | | | 40,000 | | | | | | 8,400 | | | | | | 64,960 | | |
Nick Rosenberg | | | | | 780 | | | | | | — | | | | | | — | | | | | | 8,400 | | | | | | 9,180 | | |
Scott Lublin | | | | | 780 | | | | | | — | | | | | | — | | | | | | 8,400 | | | | | | 9,180 | | |
Name and principal position | | | Year | | | Salary ($) | | | Value Realized on Stock Awards Vesting ($) | | | Nonequity Incentive Plan Compensation ($) | | | Perquisites ($) | | | Total ($) | | | % of Reported(1) | | |||||||||||||||||||||
Mark R. DeFazio President and CEO | | | | | 2019 | | | | | | 700,000 | | | | | | 260,297 | | | | | | 500,000 | | | | | | 55,780 | | | | | | 1,516,077 | | | | | | 89.43% | | |
| | | 2018 | | | | | | 700,000 | | | | | | 81,876 | | | | | | 650,000 | | | | | | 15,780 | | | | | | 1,447,656 | | | | | | 35.27% | | | ||
Nick Rosenberg EVP and Head of Global Payments | | | | | 2019 | | | | | | 359,840 | | | | | | 142,388 | | | | | | 253,687 | | | | | | 780 | | | | | | 756,695 | | | | | | 92.77% | | |
| | | 2018 | | | | | | 278,099 | | | | | | 72,800 | | | | | | 193,000 | | | | | | 780 | | | | | | 544,679 | | | | | | 99.49% | | | ||
Scott Lublin EVP and Chief Lending Officer | | | | | 2019 | | | | | | 416,000 | | | | | | — | | | | | | 286,000 | | | | | | 780 | | | | | | 702,780 | | | | | | 98.82% | | |
| | | 2018 | | | | | | 270,952 | | | | | | — | | | | | | 250,000 | | | | | | 390 | | | | | | 521,342 | | | | | | 27.16% | | |
Name | | | All Other Compensation | | |||||||||||||||||||||||||||
| Life insurance premiums ($) | | | Transportation ($) | | | Housing allowance ($) | | | 401(k) Plan employer contribution ($) | | | Total ($) | | |||||||||||||||||
Mark R. DeFazio | | | | | 780 | | | | | | 15,780 | | | | | | 60,000 | | | | | | 7,895 | | | | | | 84,455 | | |
Scott Lublin | | | | | 780 | | | | | | — | | | | | | — | | | | | | 8,550 | | | | | | 9,330 | | |
Laura Capra | | | | | 780 | | | | | | — | | | | | | — | | | | | | 8,550 | | | | | | 9,330 | | |
| | | Option Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | Option Award Grant Date | | | Number of securities underlying unexercised options exercisable | | | Number of securities underlying unexercised options unexercisable | | | Option exercise price ($) | | | Option expiration date | | | Stock Award Grant Date | | | Number of shares or units of stock that have not vested | | | Fair value of shares or units of stock that have not vested(5) ($) | | | Equity Incentive Plan Awards: Number of unearned shares, units or other rights that have not vested | | | Equity Incentive Plan Awards: Market or payout value of unearned shares, units or other rights that have not vested(5) ($) | | ||||||||||||||||||||||||||||||
Mark R. DeFazio | | | | | 10/22/2013 | | | | | | 57,000 | | | | | | — | | | | | | 18.00 | | | | | | 10/22/2023 | | | | | | 02/25/2020 | | | | | | 6,564(1) | | | | | | 238,076 | | | | | | — | | | | | | — | | |
| | | 12/02/2013 | | | | | | 74,000 | | | | | | — | | | | | | 18.00 | | | | | | 12/02/2023 | | | | | | 02/27/2019 | | | | | | 3,731(2) | | | | | | 135,323 | | | | | | — | | | | | | — | | | ||
| | | 03/18/2014 | | | | | | 30,000 | | | | | | — | | | | | | 18.00 | | | | | | 03/18/2024 | | | | | | 03/01/2017 | | | | | | 4,763(3) | | | | | | 172,718 | | | | | | — | | | | | | — | | | ||
| | | 06/01/2015 | | | | | | 70,000 | | | | | | — | | | | | | 18.00 | | | | | | 06/01/2025 | | | | | | 02/27/2018 | | | | | | — | | | | | | — | | | | | | 60,000 | | | | | | 2,176,200 | | | ||
Scott Lublin | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 02/25/2020 | | | | | | 3,754(1) | | | | | | 136,158 | | | | | | — | | | | | | — | | |
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 04/26/2018 | | | | | | — | | | | | | — | | | | | | 30,000 | | | | | | 1,088,100 | | | ||
Laura Capra | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 02/25/2020 | | | | | | 2,743(1) | | | | | | 99,489 | | | | | | — | | | | | | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 02/27/2019 | | | | | | 1,264(2) | | | | | | 45,845 | | | | | | — | | | | | | — | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 03/01/2017 | | | | | | 1,334(3) | | | | | | 48,384 | | | | | | — | | | | | | — | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 01/01/2016 | | | | | | 667(4) | | | | | | 24,192 | | | | | | — | | | | | | — | | |
| | | Option Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||||
Name | | | Number of securities underlying unexercised options exercisable | | | Number of securities underlying unexercised options unexercisable | | | Option exercise price ($) | | | Option expiration date | | | Number of shares or units of stock that have not vested | | | Fair value of shares or units of stock that have not vested(5) ($) | | | Equity Incentive Plan Awards: Number of unearned shares, units or other rights that have not vested | | | Equity Incentive Plan Awards: Market or payout value of unearned shares, units or other rights that have not vested(5) ($) | | ||||||||||||||||||||||||
Mark R. DeFazio | | | | | 57,000 | | | | | | — | | | | | | 18.00 | | | | | | 10/22/2023 | | | | | | 7,143(1) | | | | | | 344,507 | | | | | | 60,000 | | | | | | 2,893,800 | | |
| | | 74,000 | | | | | | — | | | | | | 18.00 | | | | | | 12/02/2023 | | | | | | 7,462(2) | | | | | | 359,892 | | | | | | — | | | | | | — | | | ||
| | | 30,000 | | | | | | — | | | | | | 18.00 | | | | | | 03/18/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 70,000 | | | | | | — | | | | | | 18.00 | | | | | | 06/01/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Nick Rosenberg | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,000(3) | | | | | | 96,460 | | | | | | — | | | | | | — | | |
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 3,000(1) | | | | | | 144,690 | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,000(4) | | | | | | 48,230 | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 3,346(2) | | | | | | 161,378 | | | | | | — | | | | | | — | | | ||
Scott Lublin | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 30,000 | | | | | | 1,446,900 | | |
Name(1) | | Fees earned or paid in cash ($) | | Stock Awards ($)(3) | | Total ($) | | | Fees earned or paid in cash ($) | | Stock Awards ($)(4) | | Total ($) | | ||||||||||||||||||||||||
Anthony J. Fabiano | | | | 18,000 | | | | $ | 50,462 | | | | | 68,462 | | | ||||||||||||||||||||||
Dale C. Fredston | | | | 59,500 | | | | | 155,157 | | | | | 214,657 | | | | | | 59,000 | | | | | — | | | | | 59,000 | | | ||||||
David M. Gavrin | | | | 67,000 | | | | | 155,157 | | | | | 222,157 | | | | | | 63,000 | | | | | — | | | | | 63,000 | | | ||||||
David J. Gold(2) | | | | 98,500 | | | | | 155,157 | | | | | 253,657 | | | | | | 80,000 | | | | | — | | | | | 80,000 | | | ||||||
Harvey M. Gutman | | | | 56,000 | | | | | 155,157 | | | | | 211,157 | | | | | | 56,000 | | | | | — | | | | | 56,000 | | | ||||||
Terence J. Mitchell | | | | 12,000 | | | | | 155,157 | | | | | 167,157 | | | | | | 53,000 | | | | | — | | | | | 53,000 | | | ||||||
Robert C. Patent(2) | | | | 111,000 | | | | | 155,157 | | | | | 266,157 | | | | | | 93,000 | | | | | — | | | | | 93,000 | | | ||||||
Maria F. Ramirez | | | | 46,500 | | | | | 155,157 | | | | | 201,657 | | | | | | 44,000 | | | | | — | | | | | 44,000 | | | ||||||
William Reinhardt(2) | | | | 247,500 | | | | | 155,157 | | | | | 402,657 | | | | | | 202,000 | | | | | — | | | | | 202,000 | | | ||||||
Robert Usdan | | | | 28,000 | | | | | 155,157 | | | | | 183,157 | | | ||||||||||||||||||||||
Robert Usdan(3) | | | | 25,000 | | | | | — | | | | | 25,000 | | | ||||||||||||||||||||||
George J. Wolf, Jr. | | | | 30,000 | | | | | 155,157 | | | | | 185,157 | | | | | | 24,000 | | | | | — | | | | | 24,000 | | |
Chair | | Retainer | | | Retainer | | ||||||||
Board Chair | | | $ | 50,000 | | | | | $ | 50,000 | | | ||
Compensation Committee Chair | | | | 15,000 | | | | | | 15,000 | | | ||
Audit Committee Chair | | | | 50,000 | | | | | | 50,000 | | | ||
ORM Committee Chair | | | | 25,000 | | | | | | 25,000 | | | ||
Governance Committee Chair | | | | 15,000 | | | | | | 15,000 | | | ||
ARG Committee Chair | | | | 5,000 | | | | | | 5,000 | | | ||
Loan Committee Chair | | | | 10,000 | | | ||||||||
Credit Committee Chair | | | | 10,000 | | |
Committee Meeting | | | Fee | | |||
Audit Committee | | | | $ | 2,500 | | |
Compensation Committee | | | | | 2,000 | | |
Governance Committee | | | | | 2,000 | | |
ARG Committee | | | | | 2,000 | | |
Loan Committee | | | | | 2,000 | | |
ORM Committee | | | | | 2,000 | | |
ALCO Committee | | | | | 2,000 | | |
| | 2019 | | 2018 | | | 2020 | | 2019 | | ||||||||||||||||
Audit Fees | | | $ | 391,500 | | | | $ | 416,361 | | | | | $ | 450,592 | | | | $ | 391,500 | | | ||||
Audit-Related Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Tax Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | 29,000(1) | | | | | — | | | | | | 32,481(1) | | | | | 29,000(2) | | |