SEC Form 4 · accession 0000707605-18-000042
AMERISERV FINANCIAL INC /PA/ · ASRV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Stopko
Officer — President & CEO ASRV & Bank
Period of report
May 3, 2018
Accepted (ET)
May 4, 2018 · 11:05 am EDT
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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | May 3, 2018 | M | 2,000 | $1.70 | A | 57,570 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy)F2 | $1.70 | May 3, 2018 | M | 2,000 | D | Mar 12, 2011 | Mar 12, 2020 | Common | 2,000 | 4,000 | D |
Explanation of responses
- F127,315 shares are held jointly with Mr. Stopko's wife.
- F2The options vest in three equal annual installments beginning on 3/12/11 subject to acceleration or forfeiture in certain specified circumstances.