- Annual Statement of Changes in Beneficial Ownership (5)
09 Février 2011 - 12:37AM
Edgar (US Regulatory)
FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Expires:
February 28, 2011
Estimated average burden
hours per response...
1.0
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
LANDY JAMES J
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2. Issuer Name
and
Ticker or Trading Symbol
HUDSON VALLEY HOLDING CORP [HUVL]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
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(Last)
(First)
(Middle)
C/O 21 SCARSDALE ROAD
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2010
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(Street)
YONKERS, NY 10707
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Stock
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11/26/2010
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G
(1)
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1800
(1)
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D
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$0.00
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107464
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D
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Common Stock
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11/26/2010
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G
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600
(2)
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A
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$0.00
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70871
(3)
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I
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by spouse
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Common Stock
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12/10/2010
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J
(4)
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10746
(4)
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A
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$0.00
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118210
(5)
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D
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Common Stock
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12/10/2010
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J
(4)
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656
(4)
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A
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$0.00
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7217
(5)
(6)
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D
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Common Stock
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12/10/2010
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J
(4)
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7086
(4)
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A
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$0.00
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77957
(5)
(7)
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I
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by spouse
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Options (Right-to-Buy)
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$36.50
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12/10/2010
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J
(8)
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322
(8)
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12/10/2010
(8)
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1/1/2015
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Common Stock
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322
(8)
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$0.00
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3542
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$42.00
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12/10/2010
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J
(8)
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292
(8)
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12/10/2010
(8)
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2/7/2016
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Common Stock
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292
(8)
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$0.00
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3220
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$42.00
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12/10/2010
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J
(8)
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292
(8)
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12/10/2010
(8)
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2/7/2016
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Common Stock
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292
(8)
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$0.00
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3220
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$42.00
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12/10/2010
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J
(8)
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292
(8)
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12/10/2010
(8)
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2/7/2016
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Common Stock
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292
(8)
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$0.00
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3220
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$42.00
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12/10/2010
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J
(8)
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292
(8)
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12/10/2010
(8)
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2/7/2016
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Common Stock
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292
(8)
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$0.00
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3220
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$42.00
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12/10/2010
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J
(8)
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292
(8)
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12/10/2010
(8)
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2/7/2016
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Common Stock
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292
(8)
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$0.00
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3220
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$56.75
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12/10/2010
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J
(8)
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186
(8)
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12/10/2010
(8)
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12/6/2012
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Common Stock
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186
(8)
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$0.00
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2049
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$56.75
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12/10/2010
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J
(8)
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186
(8)
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12/10/2010
(8)
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12/6/2012
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Common Stock
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186
(8)
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$0.00
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2049
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$56.75
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12/10/2010
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J
(8)
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186
(8)
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12/10/2010
(8)
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12/6/2012
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Common Stock
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186
(8)
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$0.00
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2049
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$56.75
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12/10/2010
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J
(8)
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186
(8)
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12/10/2010
(8)
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12/6/2012
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Common Stock
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186
(8)
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$0.00
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2049
(9)
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D
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Employee Stock Options (Right-to-Buy)
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$56.75
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12/10/2010
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J
(8)
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186
(8)
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12/6/2011
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12/6/2012
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Common Stock
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186
(8)
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$0.00
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2049
(9)
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D
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Explanation of Responses:
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(
1)
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Gift of stock to family 600 shares to each of 2 adult children and 600 shares to spouse of Reporting Person as custodian of minor child. The Reporting Person no longer has a reportable beneficial interest in 4,262 shares owned by adult son and included in the Reporting Person's prior ownership report because such adult son no longer resides at the same address as Reporting Person.
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(
2)
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Gift of stock from Reporting Person to spouse of Reporting Person as custodian of minor child.
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(
3)
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Includes 66,009 shares held by spouse of Reporting Person; 4,862 shares held by spouse of Reporting Person as custodian for minor child
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(
4)
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Stock dividend of .10 share of common stock for each share held paid on 12/10/2010
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(
5)
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Amount reflects stock dividend of .10 share of common stock for each share held that was paid on 12/10/2010
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(
6)
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Held jointly with spouse
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(
7)
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Includes 72,609 shares held by spouse of Reporting Person; 5,348 shares held by spouse of Reporting Person as custodian for minor child
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(
8)
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Allocation of stock dividend of .10 of common stock for each option held that was paid on 12/10/2010
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(
9)
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Amount reflects stock dividend of .10 share of common stock for each option held that was paid on 12/10/2010
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LANDY JAMES J
C/O 21 SCARSDALE ROAD
YONKERS, NY 10707
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X
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President & CEO
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Signatures
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/s/ Stephen R. Brown (Stephen R. Brown as Attorney-in-Fact for James J. Landy)
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2/8/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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