SEC Form 4 · accession 0001140361-15-039427
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam C. Gagas
Director
Period of report
Nov 2, 2015
Accepted (ET)
Nov 3, 2015 · 3:27 pm EST
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 | holding | — | — | — | 7,950 | D | ||
| Common Stock | holding | — | — | — | 13,300 | I | By IRA | |
| Common Stock | holding | — | — | — | 149,664 | I | By POA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $11.09 | Nov 2, 2015 | A | 8,236 | A | Nov 2, 2016 | Nov 2, 2025 | Common Stock | 8,236 | 8,236 | D |
Explanation of responses
- F1(1) Stock options vest at a rate of 20% per year commencing on November 2, 2016.