SEC Form 4 · accession 0000872835-15-000008
ESB FINANCIAL CORP · ESBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank D Martz
Officer — Group Sr VP of Operations
Period of report
Jan 29, 2015
Accepted (ET)
Jan 30, 2015 · 3:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000872835
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 29, 2015 | M | 5,760 | $8.48 | A | 173,200 | D | |
| Common StockF1 | Jan 29, 2015 | M | 5,760 | $7.47 | A | 178,960 | D | |
| Common StockF1 | Jan 29, 2015 | M | 5,760 | $7.03 | A | 184,720 | D | |
| Common StockF1 | Jan 29, 2015 | M | 5,760 | $7.16 | A | 190,480 | D | |
| Common StockF1 | Jan 29, 2015 | M | 7,920 | $8.02 | A | 198,400 | D | |
| Common StockF1 | Jan 29, 2015 | M | 7,920 | $10.35 | A | 206,320 | D | |
| Common StockF1 | Jan 29, 2015 | M | 5,280 | $11.00 | A | 211,600 | D | |
| Common StockF1 | Jan 29, 2015 | M | 1,080 | $7.47 | A | 212,680 | D | |
| Common StockF1 | Jan 29, 2015 | M | 1,080 | $7.03 | A | 213,760 | D | |
| Common StockF1 | Jan 29, 2015 | M | 1,080 | $7.16 | A | 214,840 | D | |
| Common StockF1 | Jan 29, 2015 | M | 1,440 | $8.02 | A | 216,280 | D | |
| Common StockF1 | Jan 29, 2015 | M | 1,440 | $10.35 | A | 217,720 | D | |
| Common StockF1 | Jan 29, 2015 | M | 960 | $11.00 | A | 218,680 | D | |
| Common StockF1 | Jan 29, 2015 | M | 720 | $10.50 | A | 219,400 | D | |
| Common StockF1 | Jan 29, 2015 | M | 480 | $13.36 | A | 219,880 | D | |
| Common Stock | holding | — | — | — | 14,953 | D | ||
| Common Stock | holding | — | — | — | 15,324 | I | 401(k) Plan | |
| Common Stock | holding | — | — | — | 4,155 | I | 401(k) Plan (by Wife) | |
| Common Stock | holding | — | — | — | 91,726 | I | ESOP | |
| Common Stock | holding | — | — | — | 29,572 | I | ESOP (by Wife) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $8.48 | Jan 29, 2015 | M | 5,760 | D | Apr 19, 2005 | Apr 19, 2015 | Common Stock | 5,760 | 0 | D |
| Stock Option | $7.47 | Jan 29, 2015 | M | 5,760 | D | Nov 21, 2006 | Nov 21, 2016 | Common Stock | 5,760 | 0 | D |
| Stock Option | $7.47 | Jan 29, 2015 | M | 1,080 | D | Nov 21, 2006 | Nov 21, 2016 | Common Stock | 1,080 | 0 | I |
| Stock Option | $7.03 | Jan 29, 2015 | M | 5,760 | D | Nov 20, 2007 | Nov 20, 2017 | Common Stock | 5,760 | 0 | D |
| Stock Option | $7.03 | Jan 29, 2015 | M | 1,080 | D | Nov 20, 2007 | Nov 20, 2017 | Common Stock | 1,080 | 0 | I |
| Stock Option | $7.16 | Jan 29, 2015 | M | 5,760 | D | Nov 18, 2008 | Nov 18, 2018 | Common Stock | 5,760 | 0 | D |
| Stock Option | $7.16 | Jan 29, 2015 | M | 1,080 | D | Nov 18, 2008 | Nov 18, 2018 | Common Stock | 1,080 | 0 | I |
| Stock Option | $8.02 | Jan 29, 2015 | M | 7,920 | D | Nov 17, 2009 | Nov 17, 2019 | Common Stock | 7,920 | 0 | D |
| Stock Option | $8.02 | Jan 29, 2015 | M | 1,440 | D | Nov 17, 2009 | Nov 17, 2019 | Common Stock | 1,440 | 0 | I |
| Stock Option | $10.35 | Jan 29, 2015 | M | 7,920 | D | Nov 16, 2010 | Nov 16, 2020 | Common Stock | 7,920 | 0 | D |
| Stock Option | $10.35 | Jan 29, 2015 | M | 1,440 | D | Nov 16, 2010 | Nov 16, 2020 | Common Stock | 1,440 | 0 | I |
| Stock Option | $11.00 | Jan 29, 2015 | M | 5,280 | D | Nov 15, 2011 | Nov 15, 2021 | Common Stock | 6,600 | 1,320 | D |
| Stock Option | $11.00 | Jan 29, 2015 | M | 960 | D | Nov 15, 2011 | Nov 15, 2021 | Common Stock | 1,200 | 240 | I |
| Stock Option | $10.50 | Jan 29, 2015 | M | 720 | D | Nov 20, 2012 | Nov 20, 2022 | Common Stock | 1,200 | 480 | I |
| Stock OptionF3 | $13.36 | Jan 29, 2015 | M | 480 | D | Nov 19, 2013 | Nov 19, 2023 | Common Stock | 1,200 | 720 | I |
| Stock Option | $10.50 | holding | — | — | — | Nov 20, 2012 | Nov 20, 2022 | Common Stock | 24,000 | 24,000 | D |
| Stock OptionF2 | $13.36 | holding | — | — | — | Nov 19, 2013 | Nov 19, 2023 | Common Stock | 24,000 | 24,000 | D |
Explanation of responses
- F1Husband and Wife
- F233 1/3% of such grant will vest immediately and 33 1/3% will vest over the next 2 years.
- F320% of such grant will vest immediately and 20% will vest each year over the next 4 years.