SEC Form 4 · accession 0000907471-16-000032
PATHWARD FINANCIAL, INC. · CASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Tyler Haahr
Officer — Chairman of the Board & CEO · Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 10:06 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000907471
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 30, 2016 | G | 100,223 | $0.00 | D | 0 | D | |
| Common StockF1,F3 | Sep 30, 2016 | G | 100,223 | $0.00 | A | 100,223 | I | MLH Trust |
| Common StockF4 | Sep 30, 2016 | F | 583 | $61.38 | D | 99,640 | I | MLH Trust |
| Common StockF5 | Sep 30, 2016 | G | 43,160 | $0.00 | D | 0 | I | Family Trust |
| Common StockF5,F6,F7 | Sep 30, 2016 | G | 43,160 | $0.00 | A | 43,160 | I | JTH Trust |
| Common Stock | holding | — | — | — | 3,098 | I | IRA | |
| Common Stock | holding | — | — | — | 324 | I | By Spouse | |
| Common Stock | holding | — | — | — | 17,684 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $31.79 | holding | — | — | — | Sep 30, 2010 | Sep 30, 2020 | Common Stock | 6,595 | 6,595 | D |
| Stock Option (Right to Buy) | $23.01 | holding | — | — | — | Sep 30, 2009 | Sep 30, 2019 | Common Stock | 8,449 | 8,449 | D |
| Stock Option (Right to Buy) | $16.00 | holding | — | — | — | Sep 30, 2008 | Sep 30, 2018 | Common Stock | 15,766 | 15,766 | D |
| Stock Option (Right to Buy) | $39.84 | holding | — | — | — | Sep 28, 2007 | Sep 28, 2017 | Common Stock | 7,155 | 7,155 | D |
Explanation of responses
- F1The transaction involved a gift of shares from the reporting person to the Michele L. Haahr Living Trust (the "MLH Trust").
- F2This amount was revised to properly reflect the number of securities beneficially owned by the reporting person as a result of an incorrect allocation of certain shares between the reporting person and the Haahr Family Trust.
- F3Held by the MLH Trust for which the reporting person is a co-trustee.
- F4Reflects shares of common stock surrendered to the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock.
- F5The transaction involved a gift of shares from the Haahr Family Trust (the "Family Trust") to the James Tyler Haahr Living Trust (the "JTH Trust").
- F6This amount was revised to properly reflect the number of securities beneficially owned by the reporting person as a result of an incorrect allocation of certain shares between the reporting person and the Family Trust. Also corrects the double counting of certain shares received following the exercise of stock options exempted pursuant to Rule 16b-3.
- F7Held by the JTH Trust for which the reporting person is a co-trustee.