Welcome to our dedicated page for Peapack-Gladstone Finl SEC filings (Ticker: PGC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Peapack-Gladstone Financial Corporation filings document the regulatory record of a New Jersey bank holding company with common stock listed on Nasdaq under PGC. Its 8-K filings cover earnings releases, investor presentations, corrections to financial metrics, capital actions, debt redemptions and material agreements, including preferred stock financing and subordinated note activity.
Proxy and annual-meeting disclosures describe board elections, shareholder voting results, executive compensation, equity awards, committee assignments and governance matters. The filings also provide formal disclosure around the company’s banking and wealth-management strategy, capital structure, registered securities, risk oversight and shareholder approvals.
PEAPACK GLADSTONE FINANCIAL CORP executive John P. Babcock received an equity award tied to future stock performance. As SEVP & President of Private Wealth Management, he was granted 16,000 performance rights on common stock at an exercise price of $0.00 per right, expiring on December 31, 2028. Each performance right represents a contingent right to receive one share of PGC common stock and vests only if the stock reaches a specified price per share.
In addition to this new grant, the filing lists existing equity-based positions, including multiple blocks of restricted stock units and phantom stock that each convert into, or mirror the value of, one share of common stock upon vesting, plus direct and indirect holdings of PGC common stock through a rabbi trust and a 401(k) plan.
Peapack-Gladstone Financial Corp President & CEO Douglas L. Kennedy made an open-market purchase of 11,296 shares of common stock at $35.21 per share, held indirectly through a rabbi trust under a non-qualified deferred compensation plan. Following this transaction, the rabbi trust holds 241,925.774 shares of common stock for his benefit. On the same Form 4, he also received a grant of 50,000 performance rights, each tied to one share of common stock and vesting only if the stock reaches a specified price by December 31, 2028. The filing also lists existing restricted stock units and phantom stock awards that convert into or mirror common stock value as they vest over future years.
Peapack-Gladstone Financial Corp Senior Executive Vice President and Chief Financial Officer Frank A. Cavallaro bought 2,889.842 shares of common stock in an open-market purchase at $34.95 per share, increasing his direct holdings to 14,713.842 shares. He also holds several grants of restricted stock units and phantom stock that convert into, or are the economic equivalent of, common stock as they vest over future years, some subject to time-based schedules and others to performance conditions tied to grants made on March 20, 2024, 2025, and 2026.
PEAPACK GLADSTONE FINANCIAL CORP director Patrick Campion made an open-market purchase of 1,429.602 shares of Common Stock at $34.97 per share. After this transaction, he directly holds 3,104.602 Common shares.
Campion also holds 1,491 Restricted Stock Units representing Common Stock, granted on March 20, 2026 and scheduled to vest on the one-year anniversary of the grant.
The Vanguard Group filed Amendment No. 1 to a Schedule 13G/A reporting 0% beneficial ownership of Peapack-Gladstone Financial Corp common stock. The amendment states that, following an internal realignment on January 12, 2026, certain Vanguard subsidiaries will report disaggregated holdings and that The Vanguard Group no longer is deemed to beneficially own securities held by those subsidiaries, in accordance with SEC Release No. 34-39538 (January 12, 1998). The filing lists 0 shares beneficially owned and 0 voting and dispositive powers.
Peapack-Gladstone Financial Corporation completed a private placement of 30,000 shares of newly created 6.00% Non-Cumulative Perpetual Convertible Preferred Stock, Series B, for gross proceeds of $30.0 million. The shares were sold at $1,000 per share to affiliates of Strategic Value Bank Partners under a Regulation D exemption.
Under the same purchase agreement, the company can, in its sole discretion, sell an additional 20,000 preferred shares, providing a total preferred stock commitment of $50 million through December 31, 2027. The preferred stock carries a 6.00% annual dividend, is non-callable for five years, then redeemable at liquidation preference subject to regulatory approval.
Each preferred share is convertible at the holder’s option, generally after five years or upon a change in control, into 26.3157 shares of common stock based on a $1,000 liquidation preference and a $38.00 conversion price, with customary anti-dilution adjustments. The company expects the issuance to qualify as Tier 1 capital and plans to use net proceeds for general corporate purposes, including supporting growth, potential acquisitions, and debt reduction or refinancing.
Peapack-Gladstone Financial Corp executive John P. Babcock reported a series of equity compensation events on March 20, 2026. He exercised multiple vested restricted stock unit and phantom stock awards into common shares and had 4,336 common shares withheld at $33.18 per share to cover tax obligations.
Babcock also received new grants of 9,362 time-based restricted stock units and 14,043 performance-based restricted stock units that each convert into one share of common stock upon future vesting. After these transactions, he directly held 46,561 common shares and indirectly held additional shares through a rabbi trust and a 401(k) plan, along with unvested RSU and phantom stock awards.
PEAPACK GLADSTONE FINANCIAL CORP EVP & Chief Risk Officer Maureen Hemhauser reported routine equity compensation activity. On March 20, 2026, she exercised or settled derivative awards, including restricted stock units and phantom stock, into 7,076 shares of common stock, while 1,052 shares were withheld at $33.18 per share to cover tax obligations.
She also received new grants of 5,386 and 1,795 restricted stock units that vest over multi‑year schedules described in the award terms. After these transactions, she continues to hold unvested awards representing 1,399 underlying common shares in restricted stock units and 1,426 underlying common shares in phantom stock units, along with both direct and indirect common stock holdings, including shares held in a rabbi trust and a 401(k) plan.
PEAPACK GLADSTONE FINANCIAL CORP President & CEO Douglas L. Kennedy reported multiple equity compensation transactions involving restricted stock units, phantom stock and common shares on March 20, 2026. He exercised derivative awards into a total of 35,429 shares of common stock and received new grants of 16,150 time-based RSUs and 24,225 performance-based RSUs that each convert into common stock upon vesting.
To cover tax obligations from RSU settlements, 3,781 common shares were withheld at a price of $33.18 per share, described as payment of tax liabilities by delivering securities rather than an open-market sale. Following these transactions, he directly holds 41,031.749 common shares and indirectly holds 230,630 common shares through a rabbi trust, plus additional indirect holdings through a 401(k) plan and an employee stock purchase plan. Remaining derivative holdings include 17,534 RSUs that may convert into common stock if performance conditions are met.
Peapack-Gladstone Financial Corp EVP and COO Robert A. Plante reported compensation-related equity activity on March 20, 2026. He exercised derivative awards into 10,830 shares of common stock and received new grants of 4,157 and 6,236 restricted stock units that convert into common shares upon future vesting.
Following these transactions, a rabbi trust associated with him holds 69,478.314 common shares indirectly, while he also retains direct derivative interests in 4,713 restricted stock units and 4,879 phantom stock units, each economically tied to one share of common stock.