SEC Form 4 · accession 0001184486-15-000004
ARROW FINANCIAL CORP · AROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Hoy
Director · Other
Period of report
Aug 5, 2015
Accepted (ET)
Aug 7, 2015 · 3:05 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,F2 | Aug 5, 2015 | F | 1,193 | $27.99 | D | 169,730 | D | |
| Common StockF3 | holding | — | — | — | 5,095 | I | By Wife w/Broker | |
| Common StockF3 | holding | — | — | — | 2,559 | I | Wife's IRA | |
| Common StockF3 | holding | — | — | — | 3,480 | I | Irrev. Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares surrendered to satisfy income tax withholding obligations on previously exercised stock options, as reported on Form 4 dated 7/23/15.
- F2Following the reported transactions, total direct holdings include: 1 share held in DRIP and ESPP accounts; 69,144 shares held in qualified retirement plans (IRA); 97,769 shares held in a custody account; and 2,816 shares acquired under a 401k account. None of these transactions were required to be reported on a Form 4 and this information is being furnished to disclose the total holdings of the insider as of the date of this Form 4.
- F3Amount of securities beneficially owned following reported transaction.