SEC Form 4 · accession 0001515690-18-000010
FIDELITY D & D BANCORP INC · FDBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy P O'Brien
Other
Period of report
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 11:14 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001098151
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 29, 2018 | S | 1,000 | $64.71 | D | 8,706 | D | |
| Common Stock | Oct 29, 2018 | S | 103 | $65.32 | D | 8,603 | D | |
| Common Stock | Oct 31, 2018 | S | 897 | $61.14 | D | 7,706 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF1,F2 | $21.60 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 4,485 | 4,485 | D |
| Stock Appreciation RightsF1,F2 | $26.17 | holding | — | — | — | — | Feb 6, 2027 | Common Stock | 3,546 | 8,031 | D |
| Stock Appreciation RightsF1,F2 | $49.50 | holding | — | — | — | — | Feb 5, 2028 | Common Stock | 5,571 | 13,602 | D |
Explanation of responses
- F11. The stock shall be fully vest at the end of a three year vesting period subject to graded vesting 1/3, 1/3, and 1/3 each year or 33 1/3% vesting period per year
- F22. Once an award has vested, it shall be subject to a hold on sale restriction for two years from the date of vesting