SEC Form 4 · accession 0001140361-17-029025
Esquire Financial Holdings, Inc. · ESQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin C Waterhouse
Director
Period of report
Jul 27, 2017
Accepted (ET)
Jul 28, 2017 · 12:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001531031
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 27, 2017 | P | 900 | $14.769 | A | 36,900 | I | As trustee for trusts |
| Common Stock | Jul 27, 2017 | P | 100 | $14.77 | A | 37,000 | I | As trustee for trusts |
| Common Stock | holding | — | — | — | 48,000 | D | ||
| Common Stock | holding | — | — | — | 9,600 | I | As custodian for children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $10.00 | holding | — | — | — | Feb 1, 2009 | Feb 1, 2018 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionsF1 | $12.50 | holding | — | — | — | Jan 4, 2011 | Jan 4, 2020 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionsF2 | $12.50 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2025 | Common Stock | 8,892 | 8,892 | D |
| Stock OptionsF3 | $12.50 | holding | — | — | — | Sep 1, 2017 | Sep 1, 2026 | Common Stock | 2,500 | 2,500 | D |
Explanation of responses
- F1Stock options are fully vested.
- F2Stock options vest at a rate of 20% per year commencing on September 1, 2016.
- F3Stock options vest at a rate of 20% per year commencing on September 1, 2017.