SEC Form 4 · accession 0000357301-16-000020
TRUSTCO BANK CORP N Y · TRST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Leonard
Officer — EVP & SECRETARY
Period of report
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 12:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000357301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Aug 19, 2016 | M | 12,000 | $5.14 | A | 60,998 | D | |
| COMMON STOCK | Aug 19, 2016 | M | 5,100 | $5.17 | A | 66,098 | D | |
| COMMON STOCK | Aug 19, 2016 | F | 12,561 | $7.01 | D | 53,537 | D | |
| COMMON STOCK | holding | — | — | — | 20,305 | I | BY FAMILY |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OPTION:RT-TO-BUYF1 | $5.14 | Aug 19, 2016 | M | 12,000 | A | — | Nov 15, 2021 | COMMON STOCK | 12,000 | 3,000 | D |
| OPTION:RT-TO-BUYF2 | $5.17 | Aug 19, 2016 | M | 5,100 | A | — | Nov 20, 2022 | COMMON STOCK | 5,100 | 3,400 | D |
Explanation of responses
- F1Awards vest in equal installments from first through fifth year following the award date, beginning November 15, 2012.
- F2Awards vest in equal installments from first through fifth year following the award date, beginning November 20, 2013.
Remarks
ADDITIONAL SHARES ACQUIRED BY REPORTING PERSON'S PARTICIPATION IN DIVIDEND REINVESTMENT AND/OR EMPLOYEE BENEFIT PLAN WITH DIVIDEND REINVESTMENT FEATURE.