SEC Form 4 · accession 0001140361-16-088988
ESSA Bancorp, Inc. · ESSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Grayuski
Officer — Vice President
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 2:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001382230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3,F4 | Dec 5, 2016 | M | 4,838 | $12.35 | A | 55,174 | D | |
| Common StockF2,F3,F4 | Dec 5, 2016 | F | 4,165 | $15.50 | D | 51,009 | D | |
| Common Stock | holding | — | — | — | 5,900 | I | As custodian for child 2 | |
| Common StockF1 | holding | — | — | — | 9,420 | I | By ESOP | |
| Common StockF1 | holding | — | — | — | 52,589 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 5,000 | I | As custodian for child 1 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $12.35 | Dec 5, 2016 | M | 4,838 | D | May 23, 2009 | May 23, 2018 | Common Stock | 4,838 | 40,485 | D |
Explanation of responses
- F1Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.
- F2Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2014.
- F3Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2015.
- F4Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2016.