SEC Form 4 · accession 0000907471-16-000043
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
Oct 11, 2016
Accepted (ET)
Oct 13, 2016 · 4:59 pm 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 | Oct 11, 2016 | G | 1,551 | $0.00 | D | 98,089 | I | MLH Trust |
| Common StockF1 | Oct 11, 2016 | G | 1,551 | $0.00 | A | 44,711 | I | JTH Trust |
| Common StockF2 | Oct 11, 2016 | A | 10,844 | $66.39 | A | 55,555 | I | JTH Trust |
| Common StockF3 | Oct 11, 2016 | F | 988 | $66.39 | D | 54,567 | 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) | $39.84 | holding | — | — | — | Sep 28, 2007 | Sep 28, 2017 | Common Stock | 7,155 | 7,155 | 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) | $23.01 | holding | — | — | — | Sep 30, 2009 | Sep 30, 2019 | Common Stock | 8,449 | 8,449 | D |
| Stock Option (Right to Buy) | $31.79 | holding | — | — | — | Sep 30, 2010 | Sep 30, 2020 | Common Stock | 6,595 | 6,595 | D |
Explanation of responses
- F1This transaction involved a gift of shares from the Michele L. Haahr Living Trust (the "MLH Trust") to the James Tyler Haahr Living Trust (the "JTH Trust").
- F2Award pursuant to the Company's 2002 Omnibus Incentive Plan.
- F3Reflects shares of common stock surrendered to the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock.