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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (RSUs) | $ 0 (6) | 07/25/2016 | M | 741 | 07/25/2016 | 07/25/2016 | Common Stock | 741 | $ 0 | 742 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Simard Curtis C P O BOX 400 82 MAIN STREET BAR HARBOR, ME 04609 |
President and CEO |
Curtis C Simard | 07/27/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares were acquired through regularly scheduled salary deferral and dividend reinvestment into the Bar Harbor Bankshares 401(k) Plan f/b/o Curtis C Simard |
(2) | The amount entered in the total number of shares owned column (box 5) reflects an increase of 40.00 shares to correct an error in previous filing. |
(3) | These shares were acquired through the executive's participation in a dividend reinvestment plan. |
(4) | Upon vesting, each restricted stock unit was converted into one share of BHB Common Stock. |
(5) | These shares were withheld to satisfy the executive's tax liability associated with the vesting of restricted stock units. This was not an open market sale of securities. |
(6) | Each restricted stock unit represents a contingent right to receive one share of BHB Common Stock. |
(7) | The amount entered in Column 9 represents the number of restricted stock units remaining in the 2014-216 Long Term Incentive Plan for this executive. |