SEC Form 4 · accession 0001140361-16-089108
ESSA Bancorp, Inc. · ESSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan A Muto
Officer — EVP and CFO
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 4:24 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 6, 2016 | M | 15,000 | $12.35 | A | 88,631 | D | |
| Common StockF2,F3,F4 | Dec 6, 2016 | F | 12,476 | $16.37 | D | 76,155 | D | |
| Common StockF1 | holding | — | — | — | 9,977 | I | By 401(k) | |
| Common StockF1 | holding | — | — | — | 11,349 | I | By ESOP |
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 6, 2016 | M | 15,000 | D | May 23, 2009 | May 23, 2018 | Common Stock | 15,000 | 110,000 | 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.