SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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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). |
1. Name and Address of Reporting Person*
| 898 VETERANS MEMORIAL HIGHWAY |
| SUITE 560 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Dime Community Bancshares, Inc. /NY/
[ DCOM ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year)
05/18/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Rule 10b5-1(c) Transaction Indication |
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
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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. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
| Common |
05/18/2023 |
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P |
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250 |
A |
$17.348
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277,734 |
D |
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| Preferred Stock, Series A |
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10,000 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
| Explanation of Responses: |
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| Remarks: |
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/s/ Alexandra Weeks, as attorney-in-fact |
05/19/2023 |
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** 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 Number. |
DIME COMMUNITY BANCSHARES, INC. LIMITED POWER OF ATTORNEY FOR SECTION 16
REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes, constitutes
and appoints each of Patricia M. Schaubeck,
Megan Hickey, Alexandra Weeks, Marc Levy, Jeffrey Cass and Edward A. Quint,
each acting individually, as the
undersigned's true and lawful attorney-in-fact, with full power and authority
as hereinafter described on behalf
of and in the name, place and stead of the undersigned to:
(!) prepare, execute, acknowledge, deliver and file Forms ID, 3, 4,
and 5 (including any amendments thereto)
with respect to the securities of Dime Community Bancshares, Inc., a
New York corporation (the "Company"), with the
United States Securities and Exchange Commission, any national securities
exchanges and the Company, as considered
necessary or advisable under Section 16(a) of the Securities Exchange
Act of 1934 and the rules and regulations promulgated
thereunder, as amended from time to time (the "Exchange Act");
(2) seek or obtain, as the undersigned's representative and on the
undersigned's behalf, information on transactions
in the Company's securities from any third party, including brokers,
employee benefit plan administrators and trustees,
and the undersigned hereby authorizes any such person to release any
such information to each of the undersigned's
attorneys-in-fact appointed by this Power of Attorney and approves and
ratifies any such release of information; and
(3) perform any and all other acts which in the discretion of such
attorney-in- fact are necessary or desirable for
and on behalf of the undersigned in connection with the foregoing.
The undersigned acknowledges that:
(1) this Power of Attorney authorizes, but does not require, each
such attorney-in-fact to act in their discretion
on inforn1ation provided to such attorney-in-fact without independent
verification of such information;
(2) any documents prepared and/or executed by either such attorney-
in-fact on behalf of the undersigned pursuant to
this Power of Attorney will be in such form and will contain such
information and disclosure as such attorney-in-fact,
in his or her discretion, deems necessary or desirable;
(3) neither the Company nor either of such attorneys-in-fact assumes
(i) any liability for the undersigned's
responsibility to comply with the requirement of the Exchange Act, (ii)
any liability of the undersigned for any
failure to comply with such requirements, or (iii) any obligation or
liability of the undersigned for profit
disgorgement under Section 16(b) of the Exchange Act; and
(4) this Power of Attorney does not relieve the undersigned from
responsibility for compliance with the
undersigned's obligations under the Exchange Act, including without
limitation the reporting requirements under
Section 16 of the Exchange Act.
The undersigned hereby gives and grants each of the foregoing
attorneys-in-fact full power and authority to do
and perform all and every act and thing whatsoever requisite,
necessary or appropriate to be done in and about
the foregoing matters as fully to all intents and purposes as the
undersigned might or could do if present, hereby
ratifying all that each such attorney-in-fact of, for and on behalf
of the undersigned, shall lawfully do or cause to
be done by virtue of this Limited Power of Attorney.
This Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Forms
3, 4, and 5 with respect to the undersigned's holdings of and
transactions in securities issued by the Company, unless
earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 15th day of December, 2022.
/s/ Kenneth J. Mahon
(Signature)
Kenneth J. Mahon
(Print Name)
