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Share Name | Share Symbol | Market | Type |
---|---|---|---|
AmeriServ Financial Inc | NASDAQ:ASRV | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.01 | 0.41% | 2.45 | 2.31 | 2.89 | 2.46 | 2.37 | 2.45 | 50,283 | 21:30:00 |
Name and Address of Beneficial Owner
|
| |
Amount of
Beneficial Ownership |
| |
Percent of
Common Stock |
| ||||||
Dimensional Fund Advisors LP(1)
Building One 6300 Bee Cave Road Austin, Texas 78746 |
| | | | 1,472,664 | | | | | | 8.6% | | |
M3 Partners, LP(2)
10 Exchange Place, Suite 510 Salt Lake City, Utah 84111 |
| | | | 1,198,275 | | | | | | 7.0% | | |
Name of Beneficial Owner(1)
|
| |
Shares
Beneficially Owned |
| |
Percent
of Class (%) |
| ||||||
J. Michael Adams, Jr.(3)
|
| | | | 121,828 | | | | | | * | | |
Allan R. Dennison(4)
|
| | | | 59,092 | | | | | | * | | |
Craig G. Ford
|
| | | | 74,728 | | | | | | * | | |
James T. Huerth(2)(5)
|
| | | | 80,340 | | | | | | * | | |
Kim W. Kunkle(6)
|
| | | | 123,835 | | | | | | * | | |
Michael D. Lynch(2)
|
| | | | 19,824 | | | | | | * | | |
Margaret A. O’Malley
|
| | | | 318,555 | | | | | | 1.8 | | |
Mark E. Pasquerilla(7)
|
| | | | 465,184 | | | | | | 2.7 | | |
Sara A. Sargent
|
| | | | 212,203 | | | | | | 1.2 | | |
Jeffrey A. Stopko(2)(8)
|
| | | | 127,357 | | | | | | * | | |
Officers, Directors and Nominees for Director as a Group (10 persons)
|
| | | | 1,602,946 | | | | | | 9.3 | | |
| Huerth — 78,286 | | | Lynch — 12,061 | | | Stopko — 55,918 | |
Name, Age and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($) |
| |
Stock
Awards ($) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($) |
| |
Changes in
Pension Value and Nonqualified Deferred Compensation Earnings ($) |
| |
All Other
Compensation ($)(1) |
| |
Total
($) |
| |||||||||||||||||||||||||||
Jeffrey A. Stopko, age 57
|
| | | | 2019 | | | | | | 342,375 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 246,419 | | | | | | 16,429 | | | | | | 605,223 | | |
President and CEO of ASRV | | | | | 2018 | | | | | | 327,500 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 40,862 | | | | | | 151,770 | | | | | | 16,692 | | | | | | 536,824 | | |
and AmeriServ Financial Bank | | | | | 2017 | | | | | | 314,750 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 26,681 | | | | | | 91,343 | | | | | | 17,459 | | | | | | 450,233 | | |
Michael D. Lynch, age 59
|
| | | | 2019 | | | | | | 195,375 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 226,438 | | | | | | 3,630 | | | | | | 425,444 | | |
Senior Vice President, CFO, | | | | | 2018 | | | | | | 186,125 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 17,593 | | | | | | 148,481 | | | | | | 3,481 | | | | | | 355,680 | | |
Chief Investment Officer, & | | | | | 2017 | | | | | | 178,250 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 11,447 | | | | | | 79,394 | | | | | | 3,209 | | | | | | 272,300 | | |
Chief Risk Officer of ASRV | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||
and AmeriServ Financial Bank | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||
James T. Huerth, age 58
|
| | | | 2019 | | | | | | 286,000 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 217,255 | | | | | | 11,560 | | | | | | 514,816 | | |
President and CEO of | | | | | 2018 | | | | | | 275,250 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 42,555 | | | | | | 137,442 | | | | | | 11,449 | | | | | | 466,696 | | |
AmeriServ Trust and | | | | | 2017 | | | | | | 267,500 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 8,979 | | | | | | 84,889 | | | | | | 13,902 | | | | | | 375,270 | | |
Financial Services Company | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Option Awards
|
| |||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option Expiration
Date |
| |||||||||||||||
Jeffrey A. Stopko
|
| | |
|
3,000
11,403 6,515 25,000 10,000 |
| | | |
|
0
0 0 0 0 |
| | | |
|
0
0 0 0 0 |
| | | |
$
$ $ $ $ |
2.28
2.75 3.23 3.18 2.96 |
| | | |
|
2/16/2021
3/15/2022 3/15/2023 2/19/2024 3/19/2025 |
| |
Michael D. Lynch
|
| | |
|
508
1,061 5,000 6,000 |
| | | |
|
0
0 0 0 |
| | | |
|
0
0 0 0 |
| | | |
$
$ $ $ |
2.75
3.23 2.96 2.96 |
| | | |
|
3/15/2022
3/15/2023 3/19/2025 4/11/2026 |
| |
James T. Huerth
|
| | |
|
15,000
3,000 11,402 6,384 25,000 7,500 10,000 |
| | | |
|
0
0 0 0 0 0 0 |
| | | |
|
0
0 0 0 0 0 0 |
| | | |
$
$ $ $ $ $ $ |
1.73
2.28 2.75 3.23 3.18 2.96 2.96 |
| | | |
|
5/20/2020
2/16/2021 3/15/2022 3/15/2023 2/19/2024 3/19/2025 4/11/2026 |
| |
Name
|
| |
Plan Name
|
| |
Number of
years of Credited Service (#) |
| |
Present
Value of Accumulated Benefit ($)(1) |
| |
Payments During
Last Fiscal Year ($) |
|
Jeffrey A. Stopko
|
| |
Defined Benefit Plan
|
| |
33
|
| |
978,879
|
| |
0
|
|
James T. Huerth
|
| |
Defined Benefit Plan
|
| |
10
|
| |
712,044
|
| |
0
|
|
Michael D. Lynch
|
| |
Defined Benefit Plan
|
| |
37
|
| |
756,492
|
| |
0
|
|
Name
|
| |
Executive
Contributions in Last Fiscal Year ($) |
| |
Registrant
Contributions in Last Fiscal Year ($) |
| |
Aggregate
Earnings in Last Fiscal Year ($) |
| |
Aggregate
Withdrawals/ Distributions in Last Fiscal Year ($) |
| |
Aggregate
Balance at Last Fiscal Year-End ($) |
| |||||||||||||||
James T. Huerth
|
| | | | 50,610 | | | | | | — | | | | | | 18,056 | | | | | | — | | | | | | 187,323 | | |
| | | | | | | | | | | | | | | | | |
Before Change in Control
|
| |
After Change in Control
|
| ||||||||||||||||||
| | | | | |
Termination
for Death or Disability |
| |
Involuntary
Termination for Cause |
| |
Involuntary
Termination without Cause |
| |
Voluntary
Termination for Good Reason |
| |
Involuntary
Termination without Cause |
| |
Voluntary
Termination for Good Reason |
| ||||||||||||||||||
Jeffery A. Stopko
|
| | Severance(1) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 671,451 | | | | | $ | 671,451 | | | | | $ | 1,023,701 | | | | | $ | 1,023,701 | | |
| | | Welfare continuation(2) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 38,481 | | | | | $ | 38,481 | | | | | $ | 57,184 | | | | | $ | 57,184 | | |
| | |
Potential reduction in payout due to
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | (135,562) | | | | | $ | (135,562) | | |
| | |
operation of Code Section 280G
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Total | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 709,932 | | | | | $ | 709,932 | | | | | $ | 945,322 | | | | | $ | 945,322 | | |
James T. Huerth
|
| | Severance(1) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 214,500 | | | | | $ | 0 | | | | | $ | 572,000 | | | | | $ | 572,000 | | |
| | |
Additional retirement benefit payment
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 225,835 | | | | | $ | 225,835 | | |
| | | Welfare continuation(2) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 15,469 | | | | | $ | 0 | | | | | $ | 60,583 | | | | | $ | 60,583 | | |
| | |
Potential reduction in payout due to
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | (186,519) | | | | | $ | (186,519) | | |
| | |
operation of Code Section 280G
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Total | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 229,969 | | | | | $ | 0 | | | | | $ | 671,899 | | | | | $ | 671,899 | | |
Michael D. Lynch
|
| | Severance(1) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 195,375 | | | | | $ | 195,375 | | |
| | |
Additional retirement benefit payment
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 228,392 | | | | | $ | 228,392 | | |
| | | Welfare continuation(2) | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 23,319 | | | | | $ | 23,319 | | |
| | |
Potential reduction in payout due to
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | |
operation of Code Section 280G
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Total | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 447,085 | | | | | $ | 447,085 | | |
Name
|
| |
Fees
Earned or Paid in Cash ($) |
| |
Stock
Awards ($)(1) |
| |
Total
|
| |||||||||
J. Michael Adams, Jr.
|
| | | $ | 32,416 | | | | | $ | 24,998 | | | | | $ | 57,414 | | |
Allan R. Dennison
|
| | | $ | 105,116 | | | | | $ | 24,998 | | | | | $ | 130,114 | | |
Daniel R. DeVos(2)
|
| | | $ | 14,439 | | | | | $ | 8,330 | | | | | $ | 22,768 | | |
Bruce E. Duke, III, M.D.(2)
|
| | | $ | 9,639 | | | | | $ | 8,330 | | | | | $ | 17,968 | | |
Craig G. Ford
|
| | | $ | 75,116 | | | | | $ | 24,998 | | | | | $ | 100,114 | | |
Kim W. Kunkle
|
| | | $ | 36,916 | | | | | $ | 24,998 | | | | | $ | 61,914 | | |
Margaret A. O’Malley
|
| | | $ | 35,116 | | | | | $ | 24,998 | | | | | $ | 60,114 | | |
Mark E. Pasquerilla
|
| | | $ | 36,116 | | | | | $ | 24,998 | | | | | $ | 61,114 | | |
Sara A. Sargent
|
| | | $ | 48,516 | | | | | $ | 24,998 | | | | | $ | 73,514 | | |
Robert L. Wise
|
| | | $ | 30,416 | | | | | $ | 33,998 | | | | | $ | 64,414 | | |
| | |
2019
|
| |
2018
|
| ||||||
Audit Fees
|
| | | | 253,317 | | | | | | 256,273 | | |
Audit-Related Fees
|
| | | | 123,862 | | | | | | 123,520 | | |
Tax Fees
|
| | | | 34,860 | | | | | | 35,650 | | |
All Other Fees
|
| | | | 24,263 | | | | | | 23,724 | | |
| |
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