SEC Form 4 · accession 0001174947-16-002331
ESPEY MFG & ELECTRONICS CORP · ESP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katrina Leonore Sparano
Officer — Asst. Treasurer
Period of report
Mar 23, 2016
Accepted (ET)
Mar 24, 2016 · 1:44 pm EDT
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 23, 2016 | A | 600 | $17.80 | A | 945 | D | |
| Common Stock - $.33 1/3 par value | Mar 23, 2016 | A | 1,000 | $18.29 | A | 1,945 | D | |
| Common Stock - $.33 1/3 par value | Mar 23, 2016 | D | 1,600 | $25.00 | D | 345 | D | |
| Common Stock - $.33 1/3 par valueF1 | holding | — | — | — | 3,991 | 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 23, 2016 | M | 600 | D | May 19, 2008 | May 19, 2016 | Common Stock | 600 | 11,250 | D |
| Stock Option | $18.29 | Mar 23, 2016 | M | 1,000 | D | Feb 21, 2009 | Feb 21, 2017 | Common Stock | 1,000 | 10,250 | D |
Explanation of responses
- F1Since the date of the reporting person's last ownership report she received an allocation of 388 shares to her ESOP account.