Filing Details
- Accession Number:
- 0001209191-21-008033
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-02-05 10:29:37
- Reporting Period:
- 2020-08-05
- Accepted Time:
- 2021-02-05 10:29:37
- Original Submission Date:
- 2020-12-28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1609065 | Pathfinder Bancorp Inc. | PBHC | State Commercial Banks (6022) | 383941859 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1781954 | G. Ronald Tascarella | 214 West First Street Oswego NY 13126 | 1St Vice President | 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 | 2020-08-05 | 357 | $9.59 | 15,352 | No | 4 | P | Indirect | By IRA |
| Common Stock | Acquisiton | 2020-09-11 | 1,000 | $0.00 | 1,000 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2020-10-28 | 1,000 | $0.00 | 1,000 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By IRA |
| No | 4 | A | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Acquisiton | 2020-09-11 | 3,000 | $0.00 | 3,000 | $9.76 |
| Common Stock | Stock Options | Acquisiton | 2020-10-28 | 1,500 | $0.00 | 1,500 | $10.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,000 | 2021-09-11 | 2030-09-11 | No | 4 | A | Direct |
| 1,500 | 2021-10-28 | 2030-10-28 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,542 | Indirect | By ESOP |
| Common Stock | 527 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $11.35 | 2017-05-06 | 2026-05-06 | 2,109 | 2,109 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-05-06 | 2,109 | 2,109 | Direct |
Footnotes
- Shares of restricted stock vest over a 3 year period at a rate of 33.333% per year commencing on September 11, 2021.
- Shares of restricted stock vest over a 3 year period at a rate of 33.333% per year commencing on October 28, 2021.
- Stock options vest over a 3 year period at a rate of 33.333% per year commencing on September 11, 2021.
- Stock options vest over a 3 year period at a rate of 33.333% per year commencing on October 28, 2021.
- Stock options vest at a rate of 20% per year commencing on May 6, 2017.
Billionaire Hedge Funds
