SEC Form 4 · accession 0001140361-17-008642

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — EVP and CFO

Period of report

Feb 21, 2017

Accepted (ET)

Feb 22, 2017 · 4:44 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 21, 2017	S	1,957	$16.50	D	79,554	D
Common Stock^F2,F3,F4,F5	Feb 21, 2017	S	100	$16.55	D	79,454	D
Common Stock^F2,F3,F4,F5	Feb 21, 2017	S	20	$16.57	D	79,434	D
Common Stock^F2,F3,F4,F5	Feb 21, 2017	S	107	$16.58	D	79,327	D
Common Stock^F2,F3,F4,F5	Feb 21, 2017	S	100	$16.59	D	79,227	D
Common Stock^F2,F3,F4,F5	Feb 21, 2017	S	240	$16.60	D	78,987	D
Common Stock^F1	holding	—	—		—	10,029	I	By 401(k)
Common Stock^F1	holding	—	—		—	11,349	I	By ESOP

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	90,000	90,000	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.