SEC Form 4 · accession 0001140361-18-013327

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — President and CEO · Director

Period of report

Mar 9, 2018

Accepted (ET)

Mar 13, 2018 · 7:04 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,F5	Mar 9, 2018	S	300	$14.87	D	69,148	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	100	$14.86	D	69,048	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	100	$14.84	D	68,948	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	198	$14.75	D	68,750	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	102	$14.78	D	68,648	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	100	$14.79	D	68,548	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	12	$14.80	D	68,536	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	388	$14.77	D	68,148	D
Common Stock^F2,F3,F4,F5	Mar 9, 2018	S	100	$14.76	D	68,048	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	170	$14.87	D	67,878	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	630	$14.84	D	67,248	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	100	$14.82	D	67,148	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	100	$14.81	D	67,048	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	900	$14.75	D	66,148	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	1,395	$14.76	D	64,753	D
Common Stock^F2,F3,F4,F5	Mar 12, 2018	S	45	$14.79	D	64,708	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	M	4,740	$12.35	A	69,448	D
Common Stock^F1	holding	—	—		—	40,627	I	By 401(k)
Common Stock	holding	—	—		—	130	I	By Spouse's IRA 1
Common Stock	holding	—	—		—	136	I	By Spouse's IRA 2
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	4,740	D	May 23, 2009	May 23, 2018	Common Stock	4,740	56,104	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..
F5Includes shares of restricted stock which vest at a rate of 25% per year commencing on September 30, 2018.