SEC Form 5 · accession 0001056943-19-000010
PEOPLES FINANCIAL SERVICES CORP. · PFIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas P Tulaney
Officer — Sr EVP,Chief Operating Officer
Period of report
Dec 31, 2018
Accepted (ET)
Feb 12, 2019 · 1:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001056943
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2018 | J | 96 | $0.00 | A | 622 | I | PSBT Employee Stock Ownership Plan |
| Common StockF2 | holding | — | — | — | 9,832 | D | ||
| Common StockF3 | holding | — | — | — | 13,404 | I | IRA | |
| Common StockF4 | holding | — | — | — | 307 | I | Restricted Stock Award, Grant date 3/13/2017 | |
| Common StockF5 | holding | — | — | — | 510 | I | Restricted Stock Award, Grant date 4/11/2018 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an allocation of shares under the Issuer's Employee Stock Ownership Plan.
- F2Balance includes adjustment of 154 shares which is 1 of 3 equal tranches that vested on 3/13/2018 from Restricted Stock Award, Granted 3/13/2017.
- F3Balance includes adjustment for an aggregate of 210.983 shares acquired by the reporting person through dividend reinvestment under the Issuer's Dividend Reinvestment and Stock Purchase Plan.
- F4Balance includes and adjustment of 154 shares that vested on 3/13/2018. The remaining shares will vest in 2 equal tranches beginning March 13, 2019.
- F5Shares vest in 3 equal tranches beginning April 11, 2019.