Statement of Changes in Beneficial Ownership (4)
April 01 2020 - 4:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person
*
Johnson James H. Jr. |
2. Issuer Name and Ticker or Trading Symbol
Seneca Financial Corp.
[
SVBI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
200 WESTGATE CIRCLE, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2018 |
(Street)
ANNAPOLIS, MD 21401
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
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Price
|
Common Stock | 3/6/2018 | | M | | 800 | A | $5.75 | 2000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $5.75 | 3/6/2018 | | M | | | 800 | (1) | 12/22/2021 | Common Stock | 800 | $0.00 | 1200 | D | |
Employee Stock Option (Right to Buy) | $6.80 | | | | | | | (2) | 11/22/2022 | Common Stock | 2000 | | 2000 | D | |
Employee Stock Option (Right to Buy) | $7.10 | | | | | | | (3) | 12/19/2023 | Common Stock | 2000 | | 2000 | D | |
Explanation of Responses: |
(1) | Options vest over a 5-year period beginning December 22, 2016. |
(2) | Options vest over a 5-year period beginning November 22, 2017. |
(3) | Options vest over a 5-year period beginning December 19, 2018. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Johnson James H. Jr. 200 WESTGATE CIRCLE, SUITE 200 ANNAPOLIS, MD 21401 | X |
|
|
|
Signatures
|
/s/ James H. Johnson, Jr. | | 4/1/2020 |
**Signature of Reporting Person | Date |
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