SEC Form 4 · accession 0000717538-19-000054
ARROW FINANCIAL CORP · AROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David D Kaiser
Officer — SVP
Period of report
Jan 30, 2019
Accepted (ET)
Jan 31, 2019 · 4:39 pm EST
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 | holding | — | — | — | 11,376 | 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)F2 | $31.71 | Jan 30, 2019 | A | 5,000 | A | — | Jan 30, 2029 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The information provided reflects 104 shares acquired under the Company's DRIP and 193 shares acquired via stock dividends since August 29, 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 annual installments beginning January 30, 2020