SEC Form 4 · accession 0001209191-17-052534
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Schneider
Officer — President and CEO
Period of report
Sep 11, 2017
Accepted (ET)
Sep 13, 2017 · 10:11 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 | Sep 11, 2017 | M | 10,000 | $5.4638 | A | 34,823 | D | |
| Common Stock | Sep 11, 2017 | M | 10,000 | $15.158 | D | 24,823 | D | |
| Common Stock | holding | — | — | — | 11,797 | I | By ESOP | |
| Common Stock | holding | — | — | — | 23,262 | 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 | $5.4638 | Sep 11, 2017 | M | 10,000 | D | Jun 23, 2012 | Jun 23, 2021 | Common Stock | 10,000 | 9,591 | D |
| Stock Options | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 26,361 | 26,361 | D |