Statement of Changes in Beneficial Ownership (4)
February 26 2020 - 5:17PM
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
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1. Name and Address of Reporting Person
*
MCMINN JOANN |
2. Issuer Name and Ticker or Trading Symbol
JUNIATA VALLEY FINANCIAL CORP
[
JUVF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP and CFO |
(Last)
(First)
(Middle)
PO BOX 66, BRIDGE & MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2016 |
(Street)
MIFFLINTOWN, PA 17059
(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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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/16/2016 | | A | | 500 | A | $0 | 2829 | D | |
Common Stock | 5/1/2016 | | P | | 176 | A | $16.77 | 3005 | D | |
Common Stock | 2/21/2017 | | A | | 800 | A | $0 | 3805 | D | |
Common Stock | 5/15/2017 | | M | | 400 | A | $17.22 | 4205 | D | |
Common Stock | 2/20/2018 | | A | | 920 | A | $0 | 5125 | D | |
Common Stock | 5/10/2018 | | M | | 2170 | A | $17.22 | 7295 | D | |
Common Stock | 2/20/2019 | | A | | 1400 | A | $0 | 8695 | D | |
Common Stock | 4/26/2019 | | M | | 1500 | A | $17.65 | 10195 | D | |
Common Stock | 2/20/2020 | | A | | 1600 | A | $0 | 11795 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Common Stock | $17.22 | 10/20/2009 | | A | | 2570 | | 10/20/2010 | 10/20/2019 | JUVF | 2570 | $0 | 2570 | D | |
Common Stock | $17.75 | 10/20/2011 | | A | | 4000 | | 10/20/2012 | 10/20/2021 | JUVF | 4000 | $0 | 6570 | D | |
Common Stock | $18 | 3/20/2012 | | A | | 4000 | | 3/20/2013 | 3/20/2022 | JUVF | 4000 | $0 | 10570 | D | |
Common Stock | $17.65 | 2/19/2013 | | A | | 4900 | | 2/19/2014 | 2/19/2023 | JUVF | 4900 | $0 | 15470 | D | |
Common Stock | $17.72 | 2/18/2014 | | A | | 6600 | | 2/18/2015 | 2/18/2024 | JUVF | 6600 | $0 | 22070 | D | |
Common Stock | $17.8 | 2/17/2015 | | A | | 6700 | | 2/17/2016 | 2/17/2025 | JUVF | 6700 | $0 | 28770 | D | |
Common Stock | $17.22 | 5/15/2017 | | M | | | 400 | 10/20/2010 | 10/20/2019 | JUVF | 400 | $0 | 28370 | D | |
Common Stock | $17.22 | 5/10/2018 | | M | | | 2170 | 10/20/2010 | 10/20/2019 | JUVF | 2170 | $0 | 26200 | D | |
Common Stock | $17.65 | 4/26/2019 | | M | | | 1500 | 2/19/2014 | 2/19/2023 | JUVF | 1500 | $0 | 24700 | D | |
Explanation of Responses: |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MCMINN JOANN PO BOX 66 BRIDGE & MAIN STREET MIFFLINTOWN, PA 17059 |
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| EVP and CFO |
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Signatures
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Danyelle M. Pannebaker | | 2/26/2020 |
**Signature of Reporting Person | Date |
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