SEC Form 4 · accession 0001140361-15-033850
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Mervine
Officer — SVP and General Counsel
Period of report
Aug 28, 2015
Accepted (ET)
Aug 31, 2015 · 11:23 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 28, 2015 | P | 600 | $10.60 | A | 9,824 | I | By IRA |
| Common Stock | holding | — | — | — | 60 | D | ||
| Common Stock | holding | — | — | — | 3,337 | I | By ESOP | |
| Common Stock | holding | — | — | — | 10,790 | I | by 401(k) |
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 | 22,237 | 22,237 | D |
Explanation of responses
- F1Stock options vest at a rate of 20% per year commencing on June 23, 2012