SEC Form 4 · accession 0001140361-18-001743
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
Jan 9, 2018
Accepted (ET)
Jan 11, 2018 · 3:52 pm EST
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 | Jan 9, 2018 | M | 5,000 | $10.00 | A | 55,000 | D | |
| Common Stock | holding | — | — | — | 9,600 | I | As custodian for children | |
| Common Stock | holding | — | — | — | 38,700 | I | As trustee for trusts |
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 | Jan 9, 2018 | M | 5,000 | D | Feb 1, 2009 | Feb 1, 2018 | Common Stock | 5,000 | 0 | 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.