SEC Form 4 · accession 0001567619-18-008509
Esquire Financial Holdings, Inc. · ESQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Mitzman
Director
Period of report
Dec 10, 2018
Accepted (ET)
Dec 21, 2018 · 4:29 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,F2 | Dec 10, 2018 | A | 2,000 | $0.00 | A | 74,262 | D | |
| Common Stock | holding | — | — | — | 2,500 | I | By insurance trust I | |
| Common Stock | holding | — | — | — | 2,500 | I | By insurance trust II |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $12.50 | holding | — | — | — | Jan 4, 2011 | Jan 4, 2020 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionsF4 | $12.50 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2025 | Common Stock | 22,231 | 22,231 | D |
| Stock OptionsF5 | $12.50 | holding | — | — | — | Sep 1, 2017 | Sep 1, 2026 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Shares of restricted stock vest in three equal annual installments commencing on December 10, 2022.
- F2Includes shares of restricted stock which vest in three equal annual installments commencing on January 23, 2022.
- F3Stock options are fully vested.
- F4Stock options vest at a rate of 20% per year commencing on September 1, 2016.
- F5Stock options vest at a rate of 20% per year commencing on September 1, 2017.