SEC Form 4 · accession 0001140361-17-032720
TRUSTCO BANK CORP N Y · TRST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Leonard
Officer — EVP
Period of report
Aug 16, 2017
Accepted (ET)
Aug 18, 2017 · 5:06 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 16, 2017 | M | 3,000 | $5.14 | A | 58,359 | D | |
| COMMON STOCK | Aug 16, 2017 | M | 1,700 | $5.17 | A | 60,059 | D | |
| COMMON STOCK | Aug 16, 2017 | F | 3,084 | $7.85 | D | 56,975 | D | |
| COMMON STOCK | holding | — | — | — | 20,996 | 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 16, 2017 | M | 3,000 | D | — | Nov 15, 2021 | COMMON STOCK | 3,000 | 0 | D |
| OPTION: RT-TO-BUYF2 | $5.17 | Aug 16, 2017 | M | 1,700 | D | — | Nov 20, 2022 | COMMON STOCK | 1,700 | 1,700 | D |
Explanation of responses
- F1Award vests in equal installments from the first through the fifth year following the award date, beginning November 15, 2012.
- F2Award vests in equal installments from the first through the fifth year following the award date, beginning November 20, 2013.
Remarks
ADDITIONAL SHARES AQUIRED BY REPORTING PERSON'S PARTICIPATION IN DIVIDEND REINVESTMENT AND/OR EMPLOYEE BENEFIT PLAN WITH DIVDEND REINVESTMENT FEATURE.