SEC Form 4 · accession 0001174947-17-001839
ESPEY MFG & ELECTRONICS CORP · ESP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Helmetag
Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 1:08 pm 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 | holding | — | — | — | 18,569 | D | ||
| Common Stock - $.33 1/3 par valueF1 | holding | — | — | — | 1,504 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $21.75 | Dec 27, 2017 | A | 2,000 | A | Oct 10, 2019 | Oct 10, 2027 | Common Stock | 2,000 | 14,400 | D |
Explanation of responses
- F1SEP IRA Account
- F2The option grant was approved by the Corporation's Board of Directors on October 10, 2017, subject to shareholder approval of the plan under which the option was granted, the filing of a registration statement on Form S-8 with the Securities and Exchange Commission, and the approval of an additional listing application by the NYSE MKT. The Corporation's shareholders approved the plan on December 1, 2017, the registration statement on Form S-8 was filed with the SEC on December 4, 2017, and the NYSE MKT approved the application on December 27, 2017.