SEC Form 4 · accession 0001209191-18-062361
Pathfinder Bancorp, Inc. · PBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A. Dowd
Officer — EVP, COO, CFO
Period of report
Dec 12, 2018
Accepted (ET)
Dec 13, 2018 · 9:35 am 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 Stock | Dec 12, 2018 | M | 4,000 | $5.4638 | A | 14,217 | D | |
| Common StockF1 | Dec 12, 2018 | M | 4,000 | $14.8005 | D | 10,217 | D | |
| Common Stock | holding | — | — | — | 11,182 | I | By ESOP | |
| Common Stock | holding | — | — | — | 15,727 | 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 | Dec 12, 2018 | M | 4,000 | D | Jun 23, 2012 | Jun 23, 2021 | Common Stock | 4,000 | 6,237 | D |
| Stock Options | $11.35 | holding | — | — | — | May 6, 2017 | May 6, 2026 | Common Stock | 15,816 | 15,816 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $14.80 to $14.81. 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.