SEC Form 4 · accession 0001140361-18-013576

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 13, 2018

Accepted (ET)

Mar 15, 2018 · 2:09 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 13, 2018	S	2,071	$14.75	D	67,377	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	S	570	$14.76	D	66,807	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	S	455	$14.77	D	66,352	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	S	105	$14.81	D	66,247	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	S	95	$14.79	D	66,152	D
Common Stock^F2,F3,F4,F5	Mar 13, 2018	S	204	$14.78	D	65,948	D
Common Stock^F2,F3,F4,F5	Mar 14, 2018	M	3,500	$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 14, 2018	M	3,500	D	May 23, 2009	May 23, 2018	Common Stock	3,500	52,604	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.