FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HUDSON VALLEY HOLDING CORP [ HUVL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2009 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock | 08/26/2009 | J(1) | 500 | D | $0.00 | 143,883 | D | ||||||||
Common Stock | 08/26/2009 | J(1) | 500 | A | $0.00 | 27,539 | I | by Profit-Sharing Plan | |||||||
Common Stock | 11/18/2009(2) | W(2) | 28,471(3) | D | $0.00 | 0 | I | by Mother's IRA | |||||||
Common Stock | 11/18/2009(2) | W(4) | 14,064 | A | $0.00 | 14,064 | I | by Family Trust(5) | |||||||
Common Stock | 12/17/2009 | J(6) | 14,388(6) | A | $0.00 | 158,271(7) | D | ||||||||
Common Stock | 12/17/2009 | J(6) | 2,753(6) | A | $0.00 | 30,292(7) | I | by Profit-Sharing Plan | |||||||
Common Stock | 12/17/2009 | J(6) | 110(6) | A | $0.00 | 1,210(7) | I | by Spouse | |||||||
Common Stock | 12/17/2009 | J(6) | 147(6) | A | $0.00 | 1,635(7) | I | as Custodian(8) | |||||||
Common Stock | 12/17/2009 | J(6) | 116(6) | A | $0.00 | 1,281(7)(9) | I | by adult child(9) |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Transfer from Reporting Person's direct holding to his Profit-Sharing Plan |
2. Date of death of the Reporting Person's mother |
3. Power of Attorney authorizing the Reporting Person to act on behalf of mother of Reporting Person ceased to be in effect upon her death November 18, 2009. The Reporting Person was not named as a beneficiary in IRA agreements |
4. Reporting Person became Executor of the Estate of Mercedes Thompson (mother of Reporting Person) upon her death November 18, 2009 |
5. Reporting Person became Succesor Trustee and Executor of the Estate of Mercedes Thompson (mother of Reporting Person) upon her death November 18, 2009 |
6. Stock dividend of .10 share of common stock for each share held that was paid on 12/17/2009 |
7. Amount reflects stock dividend of .10 share of common stock for each share held that was paid on 12/17/2009 |
8. Held by Reporting Person as custodian for children of Reporting Person under Uniform Transfers to Minors Act (545 shares of stock for each of 3 children) |
9. Held by an adult child of Reporting Person resident at same address as to which Reporting Person disclaims benefiscial ownership. |
Remarks: |
/S/ Stephen R. Brown (Stephen R. Brown as Attorney-in-Fact for Craig S. Thompson) | 02/12/2010 | |
** 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. |