Filing Details
- Accession Number:
- 0001140361-16-078300
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-31 11:55:12
- Reporting Period:
- 2016-08-15
- Filing Date:
- 2016-08-31
- Accepted Time:
- 2016-08-31 11:55:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1609065 | Pathfinder Bancorp Inc. | PBHC | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1214095 | W Thomas Schneider | 214 West First Street Oswego NY 13126 | Chief Executive Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-03-17 | 102 | $11.60 | 9,007 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-05-06 | 15,816 | $0.00 | 24,823 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2016-08-15 | 15,000 | $5.46 | 39,823 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-15 | 15,000 | $12.14 | 24,823 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Acquisiton | 2016-05-06 | 26,361 | $0.00 | 26,361 | $11.35 |
| Common Stock | Stock Options | Disposition | 2016-08-15 | 15,000 | $0.00 | 15,000 | $5.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,361 | 2017-05-06 | 2026-05-06 | No | 4 | A | Direct |
| 19,591 | 2012-06-23 | 2021-06-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 11,797 | Indirect | By ESOP |
| Common Stock | 23,262 | Indirect | By 401(k) |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $5.46 | 2012-06-23 | 2021-06-23 | 34,591 | 34,591 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-06-23 | 34,591 | 34,591 | Direct |
Footnotes
- Shares of restricted stock vest over a 7 year period at a rate of 14.285% per year commencing on May 6, 2017.
- Stock options vest over a 7 year period at a rate of 14.285% per year commencing on May 6, 2017.
- Stock options vest at a rate of 20% per year commencing on June 23, 2012.
Billionaire Hedge Funds
