SEC Form 4 · accession 0001140361-18-012783
ESSA Bancorp, Inc. · ESSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan A Muto
Officer — EVP and CFO
Period of report
Mar 7, 2018
Accepted (ET)
Mar 9, 2018 · 1:50 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 StockF2,F3,F4 | Mar 7, 2018 | M | 4,025 | $12.35 | A | 90,709 | D | |
| Common StockF2,F3,F4 | Mar 7, 2018 | S | 4,025 | $14.40 | D | 86,684 | D | |
| Common StockF2,F3,F4 | Mar 8, 2018 | M | 7,919 | $12.35 | A | 94,603 | D | |
| Common StockF2,F3,F4 | Mar 8, 2018 | S | 7,919 | $14.40 | D | 86,684 | D | |
| Common StockF1 | holding | — | — | — | 10,324 | I | By 401(k) | |
| Common StockF1 | holding | — | — | — | 12,311 | 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 | Mar 7, 2018 | M | 4,025 | D | May 23, 2009 | May 23, 2018 | Common Stock | 4,025 | 46,460 | D |
| Stock Options | $12.35 | Mar 8, 2018 | M | 7,919 | D | May 23, 2009 | May 23, 2018 | Common Stock | 7,919 | 38,541 | 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, 2016.
- F3Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2017.
- F4Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2018.