Statement of Changes in Beneficial Ownership (4)
24 Juli 2014 - 5:39PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
DALTON GREGORY W
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2. Issuer Name
and
Ticker or Trading Symbol
BAR HARBOR BANKSHARES
[
BHB
]
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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)
Executive Vice President
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(Last)
(First)
(Middle)
82 MAIN STREET PO BOX 400
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/22/2014
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(Street)
BAR HARBOR, ME 04609-0400
(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
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7/22/2014
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J
(1)
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1617.861
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A
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$0
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5730.464
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D
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Common Stock
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7/22/2014
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J
(2)
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28
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A
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$0
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5758.464
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D
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Common Stock
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7/22/2014
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J
(3)
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274
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A
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$0
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6032.464
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D
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Common Stock
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7/22/2014
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J
(4)
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150.143
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A
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$0
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6182.607
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D
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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)
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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
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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 Following Reported Transaction(s) (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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Code
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V
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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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Restricted Stock Units
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(5)
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7/22/2014
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A
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854
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(5)
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(5)
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Common Stock
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854
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$0
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854
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D
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Explanation of Responses:
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(
1)
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Represents an increase in shares held in the Bar Harbor Bankshares 401(k) Plan f/b/o of Gregory Dalton as a result of the three-for-two stock split paid on 05/19/2014
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(
2)
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Represents in increase in restricted shares owned as a result of the three-for-two stock split payable on 05/19/2014.
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(
3)
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Represents an increase in restricted stock units ("RSUs") owned as a result of the three-for-two stock split paid on May 19, 2014.
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(
4)
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Represents shares acquired through regularly scheduled salary deferral and dividend reinvestment into the Bar Habor Bankshares 401(k) Plan f/b/o Gregory Dalton.
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(
5)
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Represents a grant of restricted stock units ("RSUs") that will be settled in shares of the issuer's common stock on a one-for-one basis. The RSUs vest in three equal annual installments beginning July 2015. At the time of vesting sufficient shares of restricted stock units may be withheld to cover the executive's tax liabilities. All shares delivered at each vesting date are subject to an additional one year holding period.
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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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DALTON GREGORY W
82 MAIN STREET PO BOX 400
BAR HARBOR, ME 04609-0400
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Executive Vice President
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Signatures
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Gregory W. Dalton
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7/24/2014
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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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