SEC Form 4 · accession 0000707605-26-000060
AMERISERV FINANCIAL INC /PA/ · ASRV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Finui
Officer — EVP - ASRV Wealth & Cap. Mgmt.
Period of report
Aug 31, 2026
Accepted (ET)
Sep 8, 2026 · 4:18 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000707605
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 31, 2026 | M | 3,498 | $3.32 | A | 5,748 | D | |
| Common StockF3 | Aug 31, 2026 | S | 3,498 | $5.11 | D | 2,250 | D | |
| Common Stock | Sep 4, 2026 | M | 6,502 | $3.32 | A | 8,752 | D | |
| Common Stock | Sep 4, 2026 | S | 6,502 | $4.77 | D | 2,250 | 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)F1 | $3.32 | Aug 31, 2026 | M | 3,498 | D | Sep 29, 2017 | Sep 29, 2026 | Common Stock | 3,498 | 6,502 | D |
| Stock Option (Right to Buy)F1 | $3.32 | Sep 4, 2026 | M | 6,502 | D | Sep 29, 2017 | Sep 29, 2026 | Common Stock | 6,502 | 0 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning on September 29, 2017, subject to acceleration or forfeiture in certain specified circumstances.
- F2This transaction relates to a cashless stock option exercise.
- F3This transaction was executed in multiple trades at prices ranging from $5.10 to $5.1156. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.