SEC Form 4 · accession 0000713671-18-000077
DNB FINANCIAL CORP /PA/ · DNBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Fillippo
Director
Period of report
Sep 10, 2018
Accepted (ET)
Sep 12, 2018 · 3:09 pm EDT
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 | Sep 10, 2018 | M | 2,100 | $10.31 | A | 47,093 | D | |
| DNBF Common Stock $1 Par ValueF2 | Sep 10, 2018 | F | 1,149 | $35.30 | D | 45,944 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DNBF Common Stock $1 Par Value | $10.31 | Sep 10, 2018 | M | 2,100 | D | Dec 12, 2014 | Dec 12, 2018 | DNBF Common Stock $1 Par Value | 2,100 | 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 September 10, 2020 pursuant to the terms of a Stock Option Award Agreement dated December 12, 2011, 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.
- F2Award shares used to satisfy the aggregate amount of federal, state and local taxes required to be withheld with respect to vested award shares.