-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Axk5rnzl0hBg+YETzRHivKaoNCxLRuwN7xLpivnYPC/r4gAhwkj8BAlArxm9X2V7 rKEnG9snm8VGtb+jDEnzeA== 0000946275-02-000600.txt : 20021213 0000946275-02-000600.hdr.sgml : 20021213 20021213123829 ACCESSION NUMBER: 0000946275-02-000600 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021210 FILED AS OF DATE: 20021213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORWOOD FINANCIAL CORP CENTRAL INDEX KEY: 0001013272 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 232828306 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-28364 FILM NUMBER: 02856761 BUSINESS ADDRESS: STREET 1: 717 MAIN ST STREET 2: PO BOX 269 CITY: HONESDALE STATE: PA ZIP: 18431 BUSINESS PHONE: 7172531455 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KNELLER JOSEPH A CENTRAL INDEX KEY: 0001192351 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: P O BOX 269 STREET 2: 717 MAIN ST CITY: HONESDALE STATE: PA ZIP: 18431 BUSINESS PHONE: 6702531455 MAIL ADDRESS: STREET 1: P O BOX 269 STREET 2: 717 MAIN ST CITY: HONESDALE STATE: PA ZIP: 18431 4/A 1 f4a_121302-0160.txt FORM 4 AMENDED JOSEPH A. KNELLER ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* Kneller Joseph A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 717 Main Street - -------------------------------------------------------------------------------- (Street) Honesdale PA 18431 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Norwood Financial Corp/NWFL ================================================================================ 3. IRS or Identification Number of Reporting Person, if an entity (Voluntary) - -- ================================================================================ 4. Statement for Month/Day/Year 12/10/2002 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) 12/12/2002 ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Senior Vice President --------------------- ================================================================================ 7. Individual or Joint/Group Filings (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of 2. Execution Code ----------------------- Reported (D) or Indirect 1. Transaction Date, (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date if any ----------- Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common 2,785 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== 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). Persons who respond to the collection of information contained (Over) in this form are not required to respond unless the form displays SEC 1474 (9-02) a currently valid OMB control number.
FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 3A. 4. Securities Date Securities Price Bene- ity: In- cise 3. Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- Execution action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Date Code of (D) (Month/Day/Year) Amount ative Following In- ficial Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Reported direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity Trans- (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. action(s) (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) (Instr. 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Options - - ------------------------------------------------------------------------------------------------------------------------------------ Right-to-buy $30 12/10/ 12/10 12/10 2002 A ^1,000 2003 2012 Common 1,000 6,500 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: by: Lewis J. Critelli /s/Joseph A. Kneller Attoney-in-Fact 12/12/02 - ----------------------------------------------- --------------------- **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collections of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----