SEC Form 4 · accession 0001140361-16-077702
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Rusnak
Officer — Vice President Finance
Period of report
Aug 24, 2016
Accepted (ET)
Aug 24, 2016 · 12:41 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 | Aug 12, 2016 | P | 490 | $12.25 | A | 5,490 | I | By IRA |
| Common Stock | Aug 12, 2016 | P | 510 | $12.205 | A | 6,000 | I | By IRA |
| Common Stock | Aug 24, 2016 | P | 1,000 | $12.236 | A | 7,000 | I | By IRA |
| Common Stock | holding | — | — | — | 5,000 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $10.81 | holding | — | — | — | Apr 1, 2017 | Apr 1, 2026 | Common Stock | 8,237 | 8,237 | D |
| Stock OptionsF2 | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 2,636 | 10,873 | D |
Explanation of responses
- F1(1) Stock options vest at a rate of 20% per year commencing on April 1, 2017
- F2(2) Stock options vest at a rate of 20% commencing on May 6, 2017