SEC Form 4 · accession 0001209191-18-060343
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
Nov 30, 2018
Accepted (ET)
Nov 30, 2018 · 2:20 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 StockF1 | Nov 30, 2018 | S | 4,000 | $14.753 | D | 21,073 | 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 | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 26,361 | 26,361 | D |
| Stock Options | $5.4638 | holding | — | — | — | Jun 23, 2012 | Jun 23, 2021 | Common Stock | 2,091 | 2,091 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $14.75 to $14.79. Th price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.