SEC Form 4 · accession 0001140361-16-089844
ESSA Bancorp, Inc. · ESSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane K Reimer
Officer — Senior Vice President
Period of report
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 4:18 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 StockF5,F2,F3,F4 | Dec 13, 2016 | A | 1,509 | $0.00 | A | 61,911 | D | |
| Common StockF1 | holding | — | — | — | 21,724 | I | By 401(k) | |
| Common StockF1 | holding | — | — | — | 9,904 | 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 | holding | — | — | — | May 23, 2009 | May 23, 2018 | Common Stock | 70,218 | 70,218 | 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.
- F5Shares of restricted stock vest at a rate of 25% per year commencing on September 30, 2017.