SEC Form 4 · accession 0001140361-17-010022

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — Senior Vice President

Period of report

Feb 27, 2017

Accepted (ET)

Mar 1, 2017 · 5:09 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 27, 2017	S	2,850	$16.48	D	28,551	D
Common Stock^F2,F3,F4,F5	Feb 27, 2017	S	600	$16.35	D	27,951	D
Common Stock^F2,F3,F4,F5	Feb 28, 2017	S	211	$16.25	D	27,740	D
Common Stock^F2,F3,F4,F5	Mar 1, 2017	M	3,661	$12.35	A	31,401	D
Common Stock^F1	holding	—	—		—	34,665	I	By 401(k)
Common Stock	holding	—	—		—	2,600	I	As Custodian for child
Common Stock	holding	—	—		—	1,691	I	By IRA
Common Stock^F1	holding	—	—		—	10,498	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	Mar 1, 2017	M	3,661	D	May 23, 2009	May 23, 2018	Common Stock	3,661	36,824	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.