SEC Form 4 · accession 0001140361-15-036092
NORWOOD FINANCIAL CORP · NWFL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Marshall
Officer — Chairman of the Board · Director
Period of report
Sep 29, 2015
Accepted (ET)
Sep 29, 2015 · 2:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001013272
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 29, 2015 | M | 550 | $28.64 | A | 20,529 | D | |
| Common Stock | Sep 29, 2015 | M | 550 | $28.41 | A | 21,079 | D | |
| Common Stock | holding | — | — | — | 890 | I | Held in Trust | |
| Common StockF1 | holding | — | — | — | 350 | I | Restricted Stock Award |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options Right to Buy | $28.64 | Sep 29, 2015 | M | 550 | D | Dec 29, 2007 | Dec 29, 2016 | Common Stock | 550 | 2,150 | D |
| Option Right to Buy | $28.41 | Sep 29, 2015 | M | 550 | D | Dec 31, 2008 | Dec 31, 2017 | Common Stock | 550 | 1,600 | D |
Explanation of responses
- F1Award vests in five equal installments beginning on December 9, 2015 and annually thereafter during such periods of continued service as an Employee, Outside Director or Director Emeritus, as applicable..