SEC Form 4 · accession 0001515690-18-000011
FIDELITY D & D BANCORP INC · FDBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Pacyna Jr.
Other
Period of report
Oct 30, 2018
Accepted (ET)
Oct 31, 2018 · 5:03 pm 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 StockF1 | Oct 30, 2018 | M | 1,935 | $63.50 | A | 6,294 | D | |
| Common Stock | Oct 30, 2018 | S | 1,935 | $62.057 | D | 4,359 | 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 RightsF2 | $21.60 | Oct 30, 2018 | M | 1,985 | D | — | Feb 1, 2026 | Common Stock | 1,309 | 993 | D |
| Stock Appreciation RightsF2 | $26.17 | Oct 30, 2018 | M | 1,066 | D | — | Feb 6, 2027 | Common Stock | 626 | 2,134 | D |
| Stock Appreciation RightsF2,F3 | $49.50 | holding | — | — | — | — | Feb 5, 2028 | Common Stock | — | 5,170 | D |
Explanation of responses
- F11. Closing price on date of exercise.
- F22.The stock appreciation rights vest in 3 equal installments beginning on 2/2/2017 for the 2016 Grant, on 2/8/2018 for the 2017 Grant and on 2/7/2019 for the 2019 Grant.
- F3Determined upon exercise