Statement of Changes in Beneficial Ownership (4)
2021年2月22日 - 10:59PM
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
*
Register Chip S |
2. Issuer Name and Ticker or Trading Symbol
FAUQUIER BANKSHARES, INC.
[
FBSS
]
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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 & Chief Operating Officer |
(Last)
(First)
(Middle)
10 COURTHOUSE SQUARE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2021 |
(Street)
WARRENTON, VA 20186
(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 | 2/18/2021 | | M | | 1010 | A | (1) | 10343 | D | |
Common Stock | 2/18/2021 | | D | | 505 (1) | D | $19.79 | 9838 | 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 |
Performance Stock Units | (1) | 2/18/2021 | | M | | | 532 | (1) | (1) | Common Stock | 532 | $0.00 | 0 | D | |
Performance Stock Units | (1) | 2/18/2021 | | M | | | 478 | (1) | (1) | Common Stock | 478 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | On February 18, 2021, the Compensation Committee of the Board of Directors of Fauquier Bankshares, Inc. (the "Company") approved, effective February 18, 2021, the vesting at 50% of two performance stock unit awards previously granted to the reporting person, in 2017 and 2018. Each performance stock unit is the equivalent of one share of the Company's common stock. On February 18, 2021, 505 of the reporting person's performance stock units were settled for cash and the remaining 505 were settled for an equal number of shares of the Company's common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Register Chip S 10 COURTHOUSE SQUARE WARRENTON, VA 20186 |
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| EVP & Chief Operating Officer |
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Signatures
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Tammy P. Frazier, Attorney in Fact for Chip S. Register | | 2/22/2021 |
**Signature of Reporting Person | Date |
Fauquier Bankshares (NASDAQ:FBSS)
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