SEC Form 4 · accession 0001567619-18-001828
TRUSTCO BANK CORP N Y · TRST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M Curley
Officer — SENIOR VICE PRESIDENT
Period of report
Aug 24, 2018
Accepted (ET)
Aug 28, 2018 · 2:38 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 24, 2018 | M | 4,500 | $5.17 | A | 84,254 | D | |
| COMMON STOCK | Aug 24, 2018 | M | 8,800 | $7.05 | A | 93,054 | D | |
| COMMON STOCK | Aug 24, 2018 | M | 2,800 | $7.22 | A | 95,854 | D | |
| COMMON STOCK | Aug 24, 2018 | F | 11,226 | $9.40 | D | 84,628 | D | |
| COMMON STOCK | holding | — | — | — | 764 | I | BY WIFE |
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 | $5.17 | Aug 24, 2018 | M | 4,500 | D | — | Nov 20, 2022 | COMMON STOCK | 4,500 | 0 | D |
| OPTION: RT-TO-BUYF2 | $7.05 | Aug 24, 2018 | M | 8,800 | D | — | Nov 19, 2023 | COMMON STOCK | 8,800 | 0 | D |
| OPTION: RT-TO-BUYF3 | $7.22 | Aug 24, 2018 | M | 2,800 | D | — | Nov 18, 2024 | COMMON STOCK | 2,800 | 1,550 | D |
Explanation of responses
- F1AWARD VESTS IN EQUAL INSTALLMENTS FROM THE FIRST THROUGH FIFTH YEAR FOLLOWING THE AWARD DATE, BEGINNING NOVEMBER 20, 2013.
- F2AWARD VESTS IN EQUAL INSTALLMENTS FROM THE FIRST THROUGH FIFTH YEAR FOLLOWING THE AWARD DATE, BEGINNING NOVEMBER 19, 2014.
- F3AWARD VESTS IN EQUAL INSTALLMENTS FROM THE FIRST THROUGH FIFTH YEAR FOLLOWING THE AWARD DATE, BEGINNING NOVEMBER 18, 2015.
Remarks
ADDITIONAL SHARES ACQUIRED BY REPORTING PERSON'S PARTICIPATION IN DIVIDEND REINVESTMENT AND/OR EMPLOYEE BENEFIT PLAN WITH DIVIDEND REINVESTMENT FEATURE.