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  4. [Form 4] QUAINT OAK BANCORP, INC. Insider Trading Activity

Director at Quaint Oak (QNTO) exercises options, holds 70,790 shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

QUAINT OAK BANCORP, INC. director James J. Clarke exercised stock options to acquire 100 shares of common stock at $13.30 per share. After this transaction, he directly owns 70,790 common shares, including 35,950 held jointly with his spouse and 600 unvested shares under the 2023 Stock Incentive Plan.

Clarke also retains a stock option on 5,000 shares of common stock with an exercise price of $18.00 per share expiring on May 10, 2033, which continues to vest at 20% per year commencing on May 10, 2024. No open-market sales were reported in this filing.

Positive

  • None.

Negative

  • None.
Insider CLARKE JAMES J
Role null
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 100 $0.00 --
Exercise Common Stock 100 $13.30 $1K
holding Stock Option (Right to Buy) -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 0 shares (Direct, null); Common Stock — 70,790 shares (Direct, null)
Footnotes (1)
  1. Includes 600 shares granted pursuant to the Issuer's 2023 Stock Incentive Plan which reflect the unvested portion of a grant amount originally covering 1,000 shares that commenced vesting ratably over five years at 20% per year on May 10, 2024 and includes 35,950 shares held jointly with the reporting person's spouse, which reflects 600 shares transferred from individual to joint ownership since the last filed Form 4. The options vested at a rate of 20% per year commencing on May 9, 2019 and were fully vested as of May 9, 2023. The options are vesting at a rate of 20% per year commencing on May 10, 2024.
Options exercised 100 shares Common Stock acquired via option exercise at $13.30 on 2026-04-21
Exercise price $13.30/share Price paid per share for 100 common shares acquired by option exercise
Common shares held 70,790 shares Total direct common stock ownership after transactions
Jointly held shares 35,950 shares Common shares held jointly with spouse, including 600 transferred since last Form 4
Unvested grant 600 shares Unvested portion of 1,000-share grant under 2023 Stock Incentive Plan
Remaining option position 5,000 underlying shares Stock Option (Right to Buy) at $18.00/share expiring 2033-05-10
Option exercise price $18.00/share Exercise price of remaining 5,000-share Stock Option (Right to Buy)
Stock Option (Right to Buy) financial
"The filing lists a Stock Option (Right to Buy) linked to common stock."
2023 Stock Incentive Plan financial
"Includes 600 shares granted pursuant to the Issuer's 2023 Stock Incentive Plan."
vesting financial
"The options are vesting at a rate of 20% per year commencing on May 10, 2024."
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
derivative security financial
"The transaction code description notes an exercise or conversion of derivative security."
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
unvested portion financial
"Includes 600 shares which reflect the unvested portion of a grant amount originally covering 1,000 shares."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
CLARKE JAMES J
(Last)(First)(Middle)
C/O QUAINT OAK BANCORP, INC.
501 KNOWLES AVENUE
(Street)
SOUTHAMPTON PENNSYLVANIA 18966
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
QUAINT OAK BANCORP, INC. [ QNTO ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/21/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
CodeVAmount(A) or (D)Price
Common Stock04/21/2026M100A$13.370,790(1)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$13.304/21/2026M10005/09/2023(2)05/09/2028Common Stock100$00D
Stock Option (Right to Buy)$18 (3)05/10/2033Common Stock5,0005,000D
Explanation of Responses:
1. Includes 600 shares granted pursuant to the Issuer's 2023 Stock Incentive Plan which reflect the unvested portion of a grant amount originally covering 1,000 shares that commenced vesting ratably over five years at 20% per year on May 10, 2024 and includes 35,950 shares held jointly with the reporting person's spouse, which reflects 600 shares transferred from individual to joint ownership since the last filed Form 4.
2. The options vested at a rate of 20% per year commencing on May 9, 2019 and were fully vested as of May 9, 2023.
3. The options are vesting at a rate of 20% per year commencing on May 10, 2024.
/s/ John J. Augustine by P.O.A. for James J. Clarke04/22/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did QNTO director James J. Clarke report?

James J. Clarke reported exercising stock options to acquire 100 shares of Quaint Oak Bancorp common stock at $13.30 per share. This was an option exercise, not an open-market purchase, and no sales or dispositions of common stock were reported in this filing.

How many QNTO shares does James J. Clarke own after this Form 4?

Following the reported transactions, James J. Clarke directly owns 70,790 shares of Quaint Oak Bancorp common stock. This total includes shares held jointly with his spouse and 600 unvested shares granted under the company’s 2023 Stock Incentive Plan that continue to vest over time.

What stock options does James J. Clarke still hold in QNTO?

Clarke continues to hold a stock option covering 5,000 shares of Quaint Oak Bancorp common stock with an exercise price of $18.00 per share. This option expires on May 10, 2033 and is scheduled to vest at a rate of 20% per year beginning May 10, 2024.

Were any QNTO shares sold in James J. Clarke’s latest Form 4?

No sales of Quaint Oak Bancorp common stock were reported. The Form 4 shows an exercise of stock options for 100 shares and related derivative entries, but there are no open-market sale transactions or dispositions of common stock in this particular filing.

How are James J. Clarke’s QNTO shares structured between individual and joint ownership?

Clarke’s reported 70,790 common shares include 35,950 shares held jointly with his spouse and shares held individually. The filing notes that 600 shares were transferred from individual to joint ownership since the prior Form 4, and 600 shares remain unvested from a prior grant.