SEC Form 4 · accession 0001503249-15-000010
ASB Bancorp Inc · ASBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Kozak
Officer — EVP & Chief Credit Officer
Period of report
Feb 5, 2015
Accepted (ET)
Feb 9, 2015 · 11:23 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001520300
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Feb 5, 2015 | F | 1,996 | $19.62 | D | 6,405 | D | |
| COMMON STOCK | holding | — | — | — | 3,324 | I | BY 401(K) PLAN | |
| COMMON STOCK | holding | — | — | — | 1,777 | I | BY ESOP | |
| COMMON STOCK | holding | — | — | — | 1,500 | I | BY IRA | |
| COMMON STOCKF1,F2 | holding | — | — | — | 15,600 | I | RESTRICTED STOCK I |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK (RIGHT TO BUY)F3 | $15.71 | holding | — | — | — | Feb 5, 2014 | Feb 5, 2023 | COMMON STOCK | 51,000 | 51,000 | D |
Explanation of responses
- F1Since the reporting person's last report, 5,200 shares have vested and are now owned directly.
- F2Shares of restricted stock vest in five equal annual installments beginning on February 5, 2014, the first anniversary of the date of the grant.
- F3Stock options vest in five equal annual installments beginning on February 5, 2014, the first anniversary of the date of the grant.