SEC Form 4 · accession 0001140361-18-018077
ESSA Bancorp, Inc. · ESSA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary S Olson
Officer — President and CEO · Director
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 5:34 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 StockF2,F3,F4,F5 | Apr 6, 2018 | S | 6,200 | $14.75 | D | 63,248 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.76 | D | 63,148 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.761 | D | 63,048 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 600 | $14.7667 | D | 62,448 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.77 | D | 62,348 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.7745 | D | 62,248 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.7754 | D | 62,148 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.778 | D | 62,048 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 100 | $14.79 | D | 61,948 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 500 | $14.80 | D | 61,448 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 200 | $14.8049 | D | 61,248 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 78 | $14.8055 | D | 61,170 | D | |
| Common StockF2,F3,F4,F5 | Apr 6, 2018 | S | 522 | $14.81 | D | 60,648 | D | |
| Common StockF2,F3,F4,F5 | Apr 9, 2018 | S | 203 | $14.75 | D | 60,445 | D | |
| Common StockF2,F3,F4,F5 | Apr 10, 2018 | M | 9,003 | $12.35 | A | 69,448 | D | |
| Common StockF1 | holding | — | — | — | 40,859 | 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 StockF1 | holding | — | — | — | 11,986 | 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 | Apr 10, 2018 | M | 9,003 | D | May 23, 2009 | May 23, 2018 | Common Stock | 9,003 | 43,277 | 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, 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.