SEC Form 4 · accession 0001485001-15-000024
Oneida Financial Corp. · ONFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Stickels
Officer — President and COO · Director
Period of report
Dec 31, 2014
Accepted (ET)
Aug 20, 2015 · 11:09 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001485001
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Jul 24, 2015 | A | 18,300 | $10.30 | A | 45,428 | D | |
| Common stockF1 | Jul 24, 2015 | F | 10,800 | $20.87 | D | 34,628 | D | |
| Common stock | Dec 31, 2014 | I | 1,168 | $13.00 | A | 18,901 | I | By ESOP |
| Common stock | Dec 31, 2014 | I | 288 | $13.00 | A | 5,702 | I | By Wife ESOP |
| Common stock | holding | — | — | — | 513 | I | By Daughter | |
| Common stock | holding | — | — | — | 10,187 | I | By Wife 401k Plan | |
| Common stock | holding | — | — | — | 4,265 | I | By Wife | |
| Common stock | holding | — | — | — | 59,780 | I | By 401k Plan | |
| Common stockF2 | holding | — | — | — | 731 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common stockF3 | $10.30 | holding | — | — | — | Jul 24, 2013 | Jul 24, 2022 | ONFC common stock | 6,000 | 6,000 | I |
| Common stockF3 | $10.30 | holding | — | — | — | Jul 24, 2013 | Jul 24, 2022 | ONFC common stock | 16,000 | 16,000 | D |
Explanation of responses
- F1Performance shares that cliff vested on 7/24/2015 based on performance metrics. 20,000 shares available; 18,300 awarded based on performance.
- F2HSA Account
- F3Stock options vest at a rate of 20% per year commencing on July 24, 2013.