SEC Form 4 · accession 0001140361-18-023955

ESSA Bancorp, Inc. · ESSA

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

Reporting owner

Officer — EVP and CFO

Period of report

May 10, 2018

Accepted (ET)

May 15, 2018 · 4:27 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	May 10, 2018	S	14,983	$14.75	D	71,701	D
Common Stock^F2,F3,F4	May 10, 2018	S	800	$14.76	D	70,901	D
Common Stock^F2,F3,F4	May 10, 2018	S	200	$14.77	D	70,701	D
Common Stock^F2,F3,F4	May 10, 2018	S	2,524	$14.80	D	68,177	D
Common Stock^F2,F3,F4	May 10, 2018	S	200	$14.81	D	67,977	D
Common Stock^F2,F3,F4	May 10, 2018	S	200	$14.82	D	67,777	D
Common Stock^F2,F3,F4	May 10, 2018	S	688	$14.83	D	67,089	D
Common Stock^F2,F3,F4	May 10, 2018	S	378	$14.84	D	66,711	D
Common Stock^F2,F3,F4	May 10, 2018	S	100	$14.88	D	66,611	D
Common Stock^F2,F3,F4	May 10, 2018	S	100	$14.89	D	66,511	D
Common Stock^F2,F3,F4	May 10, 2018	S	212	$14.90	D	66,299	D
Common Stock^F2,F3,F4	May 10, 2018	S	100	$14.91	D	66,199	D
Common Stock^F2,F3,F4	May 15, 2018	M	20,485	$12.35	A	86,684	D
Common Stock^F1	holding	—	—		—	10,360	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	May 15, 2018	M	20,485	D	May 23, 2009	May 23, 2018	Common Stock	20,485	10,000	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.