Pathfinder Bancorp, Inc. — Director's Dealing 2020

Dec 30, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Pathfinder Bancorp, Inc. (PBHC)
CIK: 0001609065
Period of Report: 2020-08-05

Reporting Person: Tascarella Ronald G. (1st Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-05	Common Stock	P	357	$9.59	Acquired	15879	Indirect
2020-09-11	Common Stock	A	1000	$0.00	Acquired	1000	Direct
2020-10-28	Common Stock	A	1000	$0.00	Acquired	1000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-11	Stock Options	$9.76	A	3000	Acquired	2030-09-11	Common Stock (3000)	Direct
2020-10-28	Stock Options	$10.37	A	1500	Acquired	2030-10-28	Common Stock (1500)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1542	Indirect
Common Stock	14745	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Options	$11.35	2026-05-06	Common Stock (2109)	2109	Direct

Footnotes

F1: Shares of restricted stock vest over a 3 year period at a rate of 33.333% per year commencing on September 11, 2021.

F2: Shares of restricted stock vest over a 3 year period at a rate of 33.333% per year commencing on October 28, 2021.

F3: Stock options vest over a 3 year period at a rate of 33.333% per year commencing on September 11, 2021.

F4: Stock options vest over a 3 year period at a rate of 33.333% per year commencing on October 28, 2021.

F5: Stock options vest at a rate of 20% per year commencing on May 6, 2017.