SEC Form 4 · accession 0001174947-16-002176
ESPEY MFG & ELECTRONICS CORP · ESP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peggy A Murphy
Officer — Corporate Secretary
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 11:27 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000033533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock - $.33 1/3 par value | Mar 3, 2016 | A | 700 | $17.80 | A | 700 | D | |
| Common Stock - $.33 1/3 par value | Mar 3, 2016 | A | 1,000 | $18.29 | A | 1,700 | D | |
| Common Stock - $.33 1/3 par value | Mar 3, 2016 | D | 1,700 | $25.00 | D | 0 | D | |
| Common Stock - $.33 1/3 par valueF1 | holding | — | — | — | 10,382 | I | ESOP Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $17.80 | Mar 3, 2016 | M | 700 | D | May 19, 2008 | May 19, 2016 | Common Stock | 700 | 10,500 | D |
| Stock Option | $18.29 | Mar 3, 2016 | M | 1,000 | D | Feb 21, 2009 | Feb 21, 2017 | Common Stock | 1,000 | 9,500 | D |
Explanation of responses
- F1Since the date of the reporting person's last ownership report she received an allocation of 376 shares to her ESOP account and disposed of 1,500 shares held in her ESOP account pursuant to a diversification election made under the Internal Revenue Code.