FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HUDSON VALLEY HOLDING CORP [ HVB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/23/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 01/24/2012 | W(1) | V | 1,302 | D | $0.00 | 0 | I | by Spouse IRA | |
Common Stock | 01/24/2012 | W(1) | V | 1,302 | A | $0.00 | 6,979 | I | by IRA | |
Common Stock | 02/15/2012 | J(2) | V | 9,605 | D | $0.00 | 0 | I | by Profit Sharing Plan | |
Common Stock | 02/15/2012 | J(2) | V | 9,605 | A | $0.00 | 9,605 | I | by SEP IRA | |
Common Stock | 02/15/2012 | J(3) | V | 6,979 | D | $0.00 | 0 | I | by IRA | |
Common Stock | 02/15/2012 | J(3) | V | 6,979 | A | $0.00 | 16,584 | I | by SEP IRA | |
Common Stock | 11/12/2012 | W(4) | V | 24,222 | D | $0.00 | 0 | I | by Spouse | |
Common Stock | 11/12/2012 | W(4) | V | 24,222 | A | $0.00 | 24,222 | I | by Trust - Co-Trustee | |
Common Stock | 11/23/2012 | S | 7,661 | D | $14.8 | 8,923 | I | by SEP IRA | ||
Common Stock | 11/26/2012 | S | 8,623 | D | $14.68 | 300 | I | by SEP IRA | ||
Common Stock | 88,458 | D | ||||||||
Common Stock | 550(5) | I | by adult son as custodian | |||||||
Common Stock | 4,400(6) | I | by spouse of adult son | |||||||
Common Stock | 1,945(7) | I | by IRA held by spouse of adult son |
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 Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 |
Explanation of Responses: |
1. Reporting Person was beneficiary of spouse's IRA. |
2. Transfer of stock from profit sharing plan to SEP IRA. |
3. Transfer of stock from IRA to SEP IRA. |
4. Transfer of Spouse of Reporting Person's holdings into a disclaimer trust of which the Reporting Person is a co-trustee and beneficiary. |
5. Shares held by adult son of Reporting Person as custodian for each of two grandchildren of Reporting Person (275 shares each), all residing at the same address as Reporting Person, to which Reporting Person disclaims beneficial ownership. |
6. Shares held by spouse of adult son of Reporting Person, both residing at the same address as Reporting Person, to which Reporting Person disclaims beneficial ownership. |
7. Shares held in an IRA by spouse of adult son of Reporting Person, both residing at the same address as Reporting Person, to which Reporting Person disclaims beneficial ownership. |
Remarks: |
/s/ Stephen R. Brown (Stephen R. Brown as Attorney-in-Fact for John A. Pratt Jr.) | 11/27/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |