SEC Form 4 · accession 0001675689-19-000004
FIDELITY D & D BANCORP INC · FDBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy P O'Brien
Officer — SR EVP & CLO
Period of report
Feb 5, 2019
Accepted (ET)
Feb 12, 2019 · 11:11 am EST
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, RestrictedF1,F2 | Feb 5, 2019 | A | 444 | $59.70 | A | 8,757 | D | |
| Common StockF3 | Feb 11, 2019 | G | 1,200 | — | D | 7,557 | D | |
| Common StockF3 | Feb 11, 2019 | G | 1,200 | — | A | 1,593 | I | Spouse |
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 | $59.70 | Feb 5, 2019 | A | 1,579 | A | Feb 5, 2020 | Feb 4, 2029 | Common Stock | 1,579 | 15,181 | D |
Explanation of responses
- F1The award shall be fully vested at the end of a three year vesting period subject to one third each year or a thirty three and one third percent vesting period per year.
- F2Once an award has vested, it shall be subject to a hold on sale restriction for two years from the date of vesting.
- F3Bona fide gift