SEC Form 4 · accession 0001567619-18-001885
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 27, 2018
Accepted (ET)
Aug 29, 2018 · 4:50 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 27, 2018 | M | 1,700 | $5.17 | A | 60,853 | D | |
| COMMON STOCK | Aug 27, 2018 | M | 32,000 | $7.05 | A | 92,853 | D | |
| COMMON STOCK | Aug 27, 2018 | F | 25,205 | $9.30 | D | 67,648 | D | |
| COMMON STOCK | holding | — | — | — | 21,623 | 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 | $5.17 | Aug 27, 2018 | M | 1,700 | D | — | Nov 20, 2022 | COMMON STOCK | 1,700 | 0 | D |
| OPTION: RT-TO-BUYF2 | $7.05 | Aug 27, 2018 | M | 32,000 | D | — | Nov 19, 2023 | COMMON STOCK | 32,000 | 8,000 | D |
Explanation of responses
- F1Award vests in equal installments from the first through the fifth year following the award date, beginning November 20, 2013.
- F2Award vests in equal installments from the first through the fifth year following the award date, beginning November 19, 2014.
Remarks
ADDITIONAL SHARES AQUIRED BY REPORTING PERSON'S PARTICIPATION IN DIVIDEND REINVESTMENT AND/OR EMPLOYEE BENEFIT PLAN WITH DIVDEND REINVESTMENT FEATURE.