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4//SEC Filing

TROY FINANCIAL CORP 4

Accession 0001262241-04-000003

CIK 0001075046operating

View on SEC.gov Company Profile

Filed

Jan 20, 7:00 PM ET

Accepted

Jan 21, 3:33 PM ET

Size

16.2 KB

Accession

0001262241-04-000003

Insider Transaction Report

Form 4

Period: 2004-01-16

TROY FINANCIAL CORPTRYF

HOGARTY DANIEL J

DirectorPresident & CEO

Transactions

Exercise/Conversion
Common Stock
2004-01-16$10.30/sh+9,710$99,990→ 173,473 total
Disposition to Issuer
Employee Stock Option (Right to buy)
2004-01-16$10.30/sh−219,198$2,257,213→ 0 total
Exercise: $10.30From: 2004-01-16Exp: 2009-09-30→ Common Stock (219,198 underlying)
Sale
Common Stock
2004-01-16$35.50/sh−12,057$428,024→ 2,943 total(indirect: By Foundation)
Sale
Common Stock
2004-01-16$35.50/sh−105,396$3,741,558→ 68,077 total
Sale
Common Stock
2004-01-16$35.50/sh−22,774$808,477→ 30,188 total(indirect: By Spouse)
Exercise/Conversion
Employee Stock Option (Right to buy)
2004-01-16$10.30/sh+9,710$99,990→ 219,198 total
Exercise: $10.30From: 2004-01-16Exp: 2009-09-30→ Common Stock (9,710 underlying)

Holdings

Common Stock
(indirect: By 401(k))
30,461
Common Stock
(indirect: ESOP)
8,032

Footnotes (3)

[F1]The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed as an admission that the reporting person is the beneficial owner of such securities for Section 16, or for any other purpose.
[F2]This option, which provided for vesting in five equal installments beginning October 1, 2000, was accelerated due to the merger.
[F3]This option, which provided for vesting in five equal installments beginning October 1, 2000, was cancelled in the merger in exchange for a cash payment of $5,524,315.68, representing the difference between the exercise price of the option and market value of the underlying Troy Financial Corporation common stock on the effective date of the merger ($35.50 per share).

Documents

1 file

4
primary_doc.xmlPrimary
PRIMARY DOCUMENT

Issuer

TROY FINANCIAL CORP

CIK 0001075046

Entity typeoperating

IncorporatedDE

Related Parties

1

filerCIK 0001075046

Filing Metadata

Form type: 4
Filed: Jan 20, 7:00 PM ET
Accepted: Jan 21, 3:33 PM ET
Size: 16.2 KB

View on SEC.gov