Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| COMMUNITY FINANCIAL SYSTEM, INC.CBU · Entity 4178 | President, Retail Banking | October 02, 2022 | October 14, 2022 |
| Pathfinder Bancorp, Inc.PBHC · Entity 6777 | Senior Vice President | April 08, 2026 | April 10, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
COMMUNITY FINANCIAL SYSTEM, INC.
Report date October 02, 2022 · Filed October 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,245.6573 |
Ending reported balance
After 2022-10-14 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-10-02 · Tax withholding · Disposed 1,119 · Balance 12,762.6573 F1: Payment of tax liability associated with vesting of restricted stock award. Row 2 · 2022-10-14 · Grant · Acquired 483 · Balance 13,245.6573 F2: Granted pursuant to the Retirement and Release Agreement filed as Exhibit 10.2 to Community Bank System's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 26, 2022. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 1,866.1152 |
Reported balance
Holding disclosure · report date 2022-10-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,866.1152 |
Filing footnotes · ownership attribution and instrument terms
F1: Payment of tax liability associated with vesting of restricted stock award.
F2: Granted pursuant to the Retirement and Release Agreement filed as Exhibit 10.2 to Community Bank System's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 26, 2022.
Pathfinder Bancorp, Inc.
Report date April 08, 2026 · Filed April 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy ESOP | 4 |
Reported balance
Holding disclosure · report date 2026-04-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4 F1: Reflects ESOP shares allocated April 2026. |
| Common StockSEC Table I · non-derivative | Direct | 16,000 |
Reported balance
Holding disclosure · report date 2026-04-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 16,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects ESOP shares allocated April 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 31, 2025 Filed Feb 4, 2025 22:44 UTC | Pathfinder Bancorp, Inc. PBHC · Entity 6777 | GrantCommon Stock | 16,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-002780 · rdgdoc.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · Senior Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,000 F1 · shares: Shares of restricted stock vest at a rate of 25% per year commencing on January 31, 2026. Read SEC document |
| October 14, 2022 Filed Oct 14, 2022 16:36 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 483 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-023928 · form4.xml · nonDerivative · entry 2 Serbun Joseph F · CIK 0001741822 · President, Retail Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,245.6573 F2 · shares: Granted pursuant to the Retirement and Release Agreement filed as Exhibit 10.2 to Community Bank System's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 26, 2022. Read SEC document |
| October 02, 2022 Filed Oct 14, 2022 16:36 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 1,119 | $60.97 | $68,225.43 |
DisclosureSEC source: 0001127602-22-023928 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · President, Retail Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,762.6573 F1 · kind: Payment of tax liability associated with vesting of restricted stock award. Read SEC document |
| March 15, 2022 Filed Mar 16, 2022 21:21 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantStock Option · Derivative | 2,912 | $0.00 Strike: $72.51 | $0.00 |
DisclosureSEC source: 0001127602-22-009506 · form4.xml · derivative · entry 3 Serbun Joseph F · CIK 0001741822 · President, Retail Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,912 Underlying: Common Stock · 2,912 shares Expires 2032-03-15 F2 · derivative.exercise_date: The option vests ratably on March 15, 2023, 2024, 2025, 2026, and 2027. Read SEC document |
| March 15, 2022 Filed Mar 16, 2022 21:21 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 724 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-009506 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · President, Retail Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,881.6573 Read SEC document |
| March 04, 2022 Filed Mar 9, 2022 00:03 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 296 | $72.94 | $21,590.24 |
DisclosureSEC source: 0001127602-22-008692 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,157.6573 F1 · balance_after: Includes 240.2565 shares acquired pursuant to the Community Bank System, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 22:18 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantStock Option · Derivative | 4,151 | $0.00 Strike: $79.66 | $0.00 |
DisclosureSEC source: 0001127602-21-011164 · form4.xml · derivative · entry 3 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,151 Underlying: Common Stock · 4,151 shares Expires 2031-03-16 F3 · derivative.exercise_date: The option vests ratably on March 16, 2022, 2023, 2024, 2025, and 2026. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 22:18 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 960 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-011164 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,213.4008 F1 · balance_after: Includes 269.6766 shares acquired pursuant to the Community Bank System, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 22:04 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 269 | $71.19 | $19,150.11 |
DisclosureSEC source: 0001127602-21-009721 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,983.7242 F1 · kind: Payment of tax liability associated with the vesting of restricted stock awards. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:05 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantStock Option · Derivative | 4,972 | $0.00 Strike: $51.64 | $0.00 |
DisclosureSEC source: 0001127602-20-011496 · form4.xml · derivative · entry 3 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,972 Underlying: Common Stock · 4,972 shares Expires 2030-03-17 F3 · derivative.exercise_date: The option vests ratably on March 17, 2021, 2022, 2023, 2024, and 2025. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:05 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 1,046 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011496 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Banking Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,252.7242 F1 · balance_after: Includes 335 shares acquired pursuant to the Community Bank System, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 19:16 UTC Amendment | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 243 | $60.81 | $14,776.83 |
DisclosureSEC source: 0001127602-20-009936 · form4a.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,871.7242 F1 · date: This amendment is filed to correct the transaction date which was incorrectly reported as March 3, 2020 due to an administrative error. Read SEC document |
| March 03, 2020 Filed Mar 6, 2020 20:39 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 243 | $60.81 | $14,776.83 |
DisclosureSEC source: 0001127602-20-009768 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,871.7242 F1 · kind: Payment of tax liability associated with the vesting of restricted stock awards. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 00:08 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionStock Option · Derivative | 3,858 | $0.00 Strike: $29.79 | $0.00 |
DisclosureSEC source: 0001127602-19-032569 · form4.xml · derivative · entry 6 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,858 shares Expires 2023-03-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option vested ratably on March 19, 2014, 2015, 2016, 2017 and 2018. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 00:08 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionStock Option · Derivative | 3,484 | $0.00 Strike: $28.78 | $0.00 |
DisclosureSEC source: 0001127602-19-032569 · form4.xml · derivative · entry 5 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,484 shares Expires 2022-03-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The option vested ratably on March 21, 2013, 2014, 2015, 2016 and 2017. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 00:08 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | SaleCommon Stock | 7,342 | $68.59 | $503,581.17 |
DisclosureSEC source: 0001127602-19-032569 · form4.xml · nonDerivative · entry 3 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,114.7242 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.50 to $68.93, inclusive. The reporting person undertakes to provide Community Bank System, Inc., any security holder of Community Bank System, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 00:08 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionCommon Stock | 3,858 | $29.79 | $114,929.82 |
DisclosureSEC source: 0001127602-19-032569 · form4.xml · nonDerivative · entry 2 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,456.7242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 00:08 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionCommon Stock | 3,484 | $28.78 | $100,269.52 |
DisclosureSEC source: 0001127602-19-032569 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,598.7242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 18:29 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantStock Option · Derivative | 3,569 | $0.00 Strike: $59.41 | $0.00 |
DisclosureSEC source: 0001127602-19-012829 · form4.xml · derivative · entry 3 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,569 Underlying: Common Stock · 3,569 shares Expires 2029-03-20 F2 · derivative.exercise_date: The option vests ratably on March 20, 2020, 2021, 2022, 2023, and 2024. Read SEC document |
| March 20, 2019 Filed Mar 22, 2019 18:29 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 861 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-012829 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,114.7242 Read SEC document |
| March 01, 2019 Filed Mar 4, 2019 21:40 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 227 | $64.79 | $14,707.33 |
DisclosureSEC source: 0001127602-19-009451 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,253.7242 F1 · kind: Payment of tax liability associated with vesting of restricted stock awards. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 19:45 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Tax withholdingCommon Stock | 1,306.2782 | $60.34 | $78,820.83 |
DisclosureSEC source: 0001127602-19-001753 · form4.xml · nonDerivative · entry 2 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,480.7242 F2 · shares: Payment of tax liability associated with vesting of the three-year performance-based restricted stock award. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 19:45 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | GrantCommon Stock | 3,560.28 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-001753 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,787.0024 F1 · shares: On January 8, 2019, the Compensation Committee approved the vesting of the three-year performance-based restricted stock award, granted to the reporting person in 2016, based on achievement of predetermined performance criteria at the maximum level. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 20:00 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionStock Option · Derivative | 2,599 | $0.00 Strike: $27.36 | $0.00 |
DisclosureSEC source: 0001127602-18-022024 · form4.xml · derivative · entry 6 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,599 shares Expires 2021-01-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The option vested ratably on January 19, 2012, 2013, 2014, 2015 and 2016. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 20:00 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionStock Option · Derivative | 82 | $0.00 Strike: $19.48 | $0.00 |
DisclosureSEC source: 0001127602-18-022024 · form4.xml · derivative · entry 5 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 82 shares Expires 2020-01-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option vested ratably on January 20, 2011, 2012, 2013, 2014 and 2015. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 20:00 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | SaleCommon Stock | 2,681 | $59.73 | $160,127.82 |
DisclosureSEC source: 0001127602-18-022024 · form4.xml · nonDerivative · entry 3 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,226.7224 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.60 to $59.90, inclusive. The reporting person undertakes to provide Community Bank System, Inc., any security holder of Community Bank System, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 20:00 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionCommon Stock | 2,599 | $27.36 | $71,108.64 |
DisclosureSEC source: 0001127602-18-022024 · form4.xml · nonDerivative · entry 2 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,907.7224 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 29, 2018 Filed Jun 29, 2018 20:00 UTC | COMMUNITY FINANCIAL SYSTEM, INC. CBU · Entity 4178 | Exercise / conversionCommon Stock | 82 | $19.48 | $1,597.36 |
DisclosureSEC source: 0001127602-18-022024 · form4.xml · nonDerivative · entry 1 Serbun Joseph F · CIK 0001741822 · EVP, Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,308.7224 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.