includes both Company common stock and cash. The percentage of each unit that is Company common stock fluctuates daily, through no volitional act of the HarborOne 401(k) Plan participant.
(3)
The number of shares of common stock “beneficially owned” by each shareholder is determined under rules issued by the SEC regarding the beneficial ownership of securities. This information is not necessarily indicative of beneficial ownership for any other purpose. “Number of Shares Beneficially Owned” includes shares of common stock that may be acquired upon the exercise of options to acquire shares of common stock that are exercisable on or within 60 days after March 29, 2021 of 1,737,417. Except as otherwise noted, each beneficial owner has sole voting and investment power over the shares and units.
(4)
The total number of shares outstanding used in calculating this percentage assumes the exercise of all options to acquire shares of common stock that are exercisable on or within 60 days after March 29, 2021 and that no options held by other beneficial owners are exercised. Percentages are based on 56,228,762 shares of Company common stock outstanding as of March 29, 2021.
(5)
Includes 13,977 shares held jointly with his spouse, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan, and 83,263 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(6)
Includes 7,025 shares of unvested restricted stock.
(7)
Includes 104,314 shares held in the HarborOne 401(k) Plan, 35,908 held by his spouse and daughter as joint tenants, 71,316 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan, 8,396 shares held by the ESOP and allocated to his account and 470,700 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(8)
Includes 60,869 shares held in the HarborOne 401(k) Plan, 39,528 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan, 60,116 shares held in his IRA, 189,565 shares held in trust of which Mr. Casey is trustee with his spouse with shared voting power, 4,883shares held by the ESOP and allocated to his account and 325,688 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(9)
Includes 97,168 shares held jointly with his spouse, 30,000 shares held in his IRA, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 83,263 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(10)
Includes 13,574 unvested restricted stock awarded under the 2020 and 2017 Equity Incentive Plans, 217 shares held by the ESOP and 3,375 shares that may be acquired under options that are presently exercisable or will become exercisable within 60days.
(11)
Includes 11,307 unvested restricted stock awarded under the 2020 Equity Plans.
(12)
Includes 22,954 shares held by the Jezard Family Revocable Trust, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 83,263 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(13)
Includes 321 shares held in the HarborOne 401(k) Plan,13,105 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 2017 Stock Option and Incentive Plan, 3,000 shares held in an IRA, 2,400 shares held by the ESOP and allocated to her account, and 15,634 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(14)
Includes 31,931 shares held jointly with his spouse, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 83,263 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(15)
Includes 5,000 shares held jointly with his spouse, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 83,263 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.
(16)
Includes 10,534 unvested restricted stock awarded under the 2020 Equity Incentive Plan.
(17)
Includes 4,488 shares held in his IRA, 5,135 shares of unvested restricted stock awarded under the 2020 Equity Incentive Plan and 24,979 shares that may be acquired under options that are presently exercisable or will become exercisable within 60 days.