SEC Form 4/A · accession 0000707605-16-000157
AMERISERV FINANCIAL INC /PA/ · ASRV
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
Gregor T Young IV
Officer — President & CEO of Trust Co.
Period of report
Feb 1, 2016
Accepted (ET)
Feb 12, 2016 · 9:46 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000707605
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 1, 2016 | M | 3,000 | $2.28 | A | 88,535 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $2.28 | Feb 1, 2016 | M | 3,000 | D | Feb 16, 2014 | Feb 16, 2021 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1Includes 69,553 common shares jointly held with Mr. Young's spouse.
- F2The options vest in three equal annual installments beginning on February 16, 2014, subject to acceleration or forfeiture in certain specified circumstances.