SEC Form 4/A · accession 0001140361-16-087849
TRUSTCO BANK CORP N Y · TRST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael M Ozimek
Officer — CFO & Senior Vice President
Period of report
Nov 18, 2016
Accepted (ET)
Nov 25, 2016 · 1:26 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OPTION: RT-TO-BUYF3,F1 | $5.14 | Nov 18, 2016 | M | 8,000 | D | — | Nov 15, 2021 | COMMON STOCK | 8,000 | 2,000 | D |
| OPTION: RT-TO-BUYF3,F2 | $5.17 | Nov 18, 2016 | M | 3,200 | D | — | 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.
- F3The original Form 4 filed on November 22, 2016 is amended by this Form 4 amendment to clarify the disposition of options upon exercise.
Remarks
ADDITIONAL SHARES ACQUIRED BY REPORTING PERSON'S PARTICIPATION IN DIVIDEND REINVESTMENT AND/OR EMPLOYEE BENEFIT PLAN WITH DIVIDEND REINVESTMENT FEATURE.