SEC Form 4 · accession 0001140361-17-004516

ESSA Bancorp, Inc. · ESSA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice President

Period of report

Feb 2, 2017

Accepted (ET)

Feb 6, 2017 · 2:43 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 Stock^F2,F3,F4,F5	Feb 2, 2017	M	15,000	$12.35	A	17,211	D
Common Stock^F2,F3,F4,F5	Feb 2, 2017	S	9,586	$15.73	D	7,625	D
Common Stock^F2,F3,F4,F5	Feb 3, 2017	S	5,119	$15.50	D	2,506	D
Common Stock^F2,F3,F4,F5	Feb 3, 2017	S	45	$15.58	D	2,461	D
Common Stock^F2,F3,F4,F5	Feb 3, 2017	S	250	$15.70	D	2,211	D
Common Stock	holding	—	—		—	100	I	As custodian for child 2
Common Stock^F1	holding	—	—		—	5,866	I	By ESOP
Common Stock^F1	holding	—	—		—	4,676	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options	$12.35	Feb 2, 2017	M	15,000	D	May 23, 2009	May 23, 2018	Common Stock	15,000	0	D

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.
F5Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2017.