SEC Form 3 · accession 0001140361-16-072974
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa A Kimball
Officer — Controller, VP
Period of report
Jul 21, 2016
Accepted (ET)
Jul 21, 2016 · 2:30 pm 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 | holding | — | — | — | 2,992 | I | By ESOP | |
| Common Stock | holding | — | — | — | 4,998 | 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 Options | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 2,636 | — | D |