SEC Form 4 · accession 0001567619-18-008512
Esquire Financial Holdings, Inc. · ESQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew C Sagliocca
Officer — President and CEO · Director
Period of report
Dec 10, 2018
Accepted (ET)
Dec 21, 2018 · 4:30 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 | 30,000 | $0.00 | A | 78,607 | D |
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 | 27,000 | 27,000 | D |
| Stock OptionsF4 | $12.50 | holding | — | — | — | Aug 1, 2015 | Aug 1, 2024 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionsF5 | $12.50 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2025 | Common Stock | 26,677 | 26,677 | D |
| Stock OptionsF6 | $12.50 | holding | — | — | — | Sep 1, 2017 | Sep 1, 2026 | Common Stock | 58,250 | 58,250 | 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 August 1, 2015.
- F5Stock options vest at a rate of 20% per year commencing on September 1, 2016.
- F6Stock options vest at a rate of 20% per year commencing on September 1, 2017.