SEC Form 4 · accession 0001140361-18-013234

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — EVP and CFO

Period of report

Mar 9, 2018

Accepted (ET)

Mar 13, 2018 · 3:39 pm EDT

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	Mar 9, 2018	S	6,359	$14.40	D	80,325	D
Common Stock^F2,F3,F4	Mar 9, 2018	S	600	$14.50	D	79,725	D
Common Stock^F2,F3,F4	Mar 9, 2018	S	700	$14.51	D	79,025	D
Common Stock^F2,F3,F4	Mar 9, 2018	S	97	$14.52	D	78,928	D
Common Stock^F2,F3,F4	Mar 9, 2018	S	100	$14.53	D	78,828	D
Common Stock^F2,F3,F4	Mar 9, 2018	S	200	$14.72	D	78,628	D
Common Stock^F2,F3,F4	Mar 13, 2018	M	8,056	$12.35	A	86,684	D
Common Stock^F1	holding	—	—		—	10,306	I	By 401(k)
Common Stock^F1	holding	—	—		—	12,311	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 13, 2018	M	8,056	D	May 23, 2009	May 23, 2018	Common Stock	8,056	30,485	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, 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.