SEC Form 4 · accession 0000717538-18-000146
ARROW FINANCIAL CORP · AROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary C Dake
Director
Period of report
Jul 26, 2018
Accepted (ET)
Jul 27, 2018 · 2:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000717538
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 26, 2018 | M | 282 | $21.56 | A | 40,404 | D | |
| Common Stock | Jul 26, 2018 | F | 154 | $39.40 | D | 40,250 | D | |
| Common Stock | Jul 26, 2018 | M | 552 | $22.65 | A | 40,802 | D | |
| Common Stock | Jul 26, 2018 | F | 317 | $39.40 | D | 40,485 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F2 | $21.56 | Jul 26, 2018 | M | 282 | D | — | Jan 31, 2023 | Common Stock | 282 | 0 | D |
| Director Stock Option (Right to Buy)F3 | $22.65 | Jul 26, 2018 | M | 552 | D | — | Jan 29, 2024 | Common Stock | 552 | 0 | D |
Explanation of responses
- F1The information provided reflects 586 shares acquired under the Company's DRIP since May 30, 2018 which were not required to be reported on a Form 4. This information is being furnished to disclose the total holdings of the insider as of the date of this Form 4.
- F2The option vests in four equal installments beginning January 31, 2014
- F3The option vests in four equal installments beginning January 29, 2015