SEC Form 4/A · accession 0001140361-15-033165
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald Tascarella
Officer — SVP and CCO
Period of report
Aug 11, 2015
Accepted (ET)
Aug 24, 2015 · 10:10 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609065
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 11, 2015 | P | 4,600 | $10.75 | A | 30,955 | D | |
| Common Stock | holding | — | — | — | 1,383 | I | By ESOP | |
| Common Stock | holding | — | — | — | 20,292 | I | by 401(K) | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $5.4638 | holding | — | — | — | Jun 23, 2012 | Jun 23, 2021 | Common Stock | 14,001 | 14,001 | D |
Explanation of responses
- F1(1) Stock options vest at a rate of 20% per year commencing on June 23, 2012