SEC Form 4 · accession 0001225208-15-021300
Polonia Bancorp Inc · PBCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D Rutkowski
Officer — Chief Financial Officer
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001528610
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 19, 2015 | F | 700 | $12.30 | D | 16,587 | D | |
| Common Stock | holding | — | — | — | 112 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 6,064 | I | By ESOP | |
| Common Stock | holding | — | — | — | 33,284 | I | By NQ Plan | |
| Common StockF1,F2 | holding | — | — | — | 8,194 | I | By Stock Award |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right-to-buy)F3 | $8.44 | holding | — | — | — | Aug 21, 2008 | Aug 21, 2017 | Common Stock | 45,101 | 45,101 | D |
| Stock Option (right-to-buy)F4 | $10.25 | holding | — | — | — | Nov 19, 2014 | Nov 19, 2023 | Common Stock | 34,148 | 34,148 | D |
Explanation of responses
- F1Since the reporting person's last report, 2,732 shares of restricted stock previously held by Stock Award have vested and are now held directly.
- F2Stock Awards granted pursuant to the Polonia Bancorp, Inc. 2013 Equity Incentive Plan vest in five annual installments commencing on November 19, 2014.
- F3Stock Options are fully vested and exerciseable.
- F4Stock Options granted pursuant to the Polonia Bancorp, Inc. 2013 Equity Incentive Plan vest in five annual installments commencing on November 19, 2014.