SEC Form 4 · accession 0001140361-16-087498
TRUSTCO BANK CORP N Y · TRST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Michael M Ozimek
Officer — CFO & Senior Vice President
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 10:48 am EST
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 | Nov 18, 2016 | M | 8,000 | $5.14 | A | 15,087 | D | |
| COMMON STOCK | Nov 18, 2016 | M | 3,200 | $5.17 | A | 18,287 | D | |
| COMMON STOCK | Nov 18, 2016 | F | 7,076 | $8.15 | D | 11,211 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | $5.14 | Nov 18, 2016 | M | 8,000 | A | — | Nov 15, 2021 | COMMON STOCK | 8,000 | 2,000 | D |
| COMMON STOCKF2 | $5.17 | Nov 18, 2016 | M | 3,200 | A | — | Nov 20, 2022 | COMMON STOCK | 3,200 | 2,800 | D |
Explanation of responses
- F1Award vests in equal installments from the first through fifth year following the award date, beginning November 15, 2012.
- F2Award vests in equal installments from the 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.