SEC Form 4 · accession 0001140361-18-005558
Esquire Financial Holdings, Inc. · ESQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Shields
Officer — Exec Chairman of the Board · Director
Period of report
Jan 23, 2018
Accepted (ET)
Feb 7, 2018 · 3:10 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 StockF1 | Jan 23, 2018 | A | 15,000 | $0.00 | A | 113,048 | D | |
| Common Stock | holding | — | — | — | 12,000 | I | As custodian for children | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $12.50 | holding | — | — | — | Aug 1, 2015 | Aug 1, 2024 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionsF3 | $12.50 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2025 | Common Stock | 142,279 | 142,279 | D |
| Stock OptionsF4 | $12.50 | holding | — | — | — | Sep 1, 2017 | Sep 1, 2026 | Common Stock | 101,500 | 101,500 | D |
Explanation of responses
- F1Shares of restricted stock vest in three equal annual installments commencing on January 23, 2022.
- F2Stock options vest at a rate of 20% per year commencing on August 1, 2015.
- F3Stock options vest at a rate of 20% per year commencing on September 1, 2016.
- F4Stock options vest at a rate of 20% per year commencing on September 1, 2017.