SEC Form 4 · accession 0001140361-17-041150

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — Vice President

Period of report

Nov 3, 2017

Accepted (ET)

Nov 6, 2017 · 4:51 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	Nov 3, 2017	S	2,500	$16.10	D	49,434	D
Common Stock^F2,F3,F4	Nov 3, 2017	S	1,600	$16.12	D	47,834	D
Common Stock^F2,F3,F4	Nov 3, 2017	S	2,354	$16.13	D	45,480	D
Common Stock^F2,F3,F4	Nov 3, 2017	S	100	$16.14	D	45,380	D
Common Stock^F2,F3,F4	Nov 3, 2017	S	100	$16.15	D	45,280	D
Common Stock^F2,F3,F4	Nov 6, 2017	M	6,654	$12.35	A	51,934	D
Common Stock	holding	—	—		—	5,900	I	As custodian for child 2
Common Stock^F1	holding	—	—		—	10,383	I	By ESOP
Common Stock^F1	holding	—	—		—	53,676	I	By 401(k)
Common Stock	holding	—	—		—	5,000	I	As custodian for child 1

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options	$12.35	Nov 6, 2017	M	6,654	D	May 23, 2009	May 23, 2018	Common Stock	6,654	13,225	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, 2015.
F3Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2016.
F4Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2017.