SEC Form 4 · accession 0001209191-18-028503
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Mervine
Officer — Senior Vice President
Period of report
May 7, 2018
Accepted (ET)
May 8, 2018 · 10:41 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 | May 7, 2018 | M | 1,000 | $5.4638 | A | 12,441 | D | |
| Common Stock | May 7, 2018 | M | 1,000 | $15.476 | D | 11,441 | D | |
| Common Stock | holding | — | — | — | 9,824 | I | By IRA | |
| Common Stock | holding | — | — | — | 4,981 | 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 Options | $5.4638 | May 7, 2018 | M | 1,000 | D | Jun 23, 2012 | Jun 23, 2021 | Common Stock | 1,000 | 11,879 | D |
| Stock Options | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 0 | 15,816 | D |