SEC Form 4 · accession 0000713671-16-000155
DNB FINANCIAL CORP /PA/ · DNBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald F Sopp
Officer — CFO
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 2:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000713671
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| DNBF Common Stock $1 Par ValueF1 | Nov 7, 2016 | M | 4,700 | $6.93 | A | 24,478 | D | |
| DNBF Common Stock $1 Par Value | Nov 7, 2016 | F | 2,865 | $25.75 | D | 21,613 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $6.93 | Nov 7, 2016 | M | 4,700 | D | Apr 23, 2014 | Apr 23, 2017 | DNBF Common Stock $1 Par Value | 4,700 | 0 | D |
Explanation of responses
- F1Sale, assignment, pledge, gift, encumbrance or other alienation or disposition of the shares represented by this certificate may be restricted as provided under applicable federal and state securities laws, and are also restricted and prohibited until November 7, 2018 pursuant to the terms of a Stock Option Award Agreement dated April 23, 2010, between DNB Financial Corporation and the holder of the shares named on this certificate, and the provisions of the DNB Financial Corporation Stock Option Plan.