SEC Form 4 · accession 0000907471-17-000068
PATHWARD FINANCIAL, INC. · CASH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley C Hanson
Officer — President · Director
Period of report
Oct 21, 2014
Accepted (ET)
Aug 2, 2017 · 4:08 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 Stock | Oct 21, 2014 | G | 1,931 | $0.00 | D | 139,637 | D | |
| Common Stock | Nov 3, 2015 | G | 2,000 | $0.00 | D | 137,637 | D | |
| Common StockF1 | May 23, 2017 | G | 112,140 | $0.00 | D | 25,497 | D | |
| Common StockF1,F2 | May 23, 2017 | G | 112,140 | $0.00 | A | 112,140 | I | BJH Living Trust |
| Common StockF1 | May 25, 2017 | G | 12,000 | $0.00 | D | 13,497 | D | |
| Common StockF1,F2 | May 25, 2017 | G | 12,000 | $0.00 | A | 124,140 | I | BJH Living Trust |
| Common StockF1 | Jul 3, 2017 | G | 13,497 | $0.00 | D | 0 | D | |
| Common StockF1,F2 | Jul 3, 2017 | G | 13,497 | $0.00 | A | 137,637 | I | BJH Living Trust |
| Common Stock | holding | — | — | — | 4,034 | 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) | $16.00 | holding | — | — | — | Sep 30, 2008 | Sep 30, 2018 | Common Stock | 6,250 | 6,250 | D |
| Stock Option (Right to Buy) | $23.01 | holding | — | — | — | Sep 30, 2009 | Sep 30, 2019 | Common Stock | 7,407 | 7,407 | D |
| Stock Option (Right to Buy) | $31.79 | holding | — | — | — | Sep 30, 2010 | Sep 30, 2020 | Common Stock | 5,962 | 5,962 | D |
Explanation of responses
- F1The transaction involved a gift of shares from the reporting person to the Bradley and Jacqueline Hanson Living Trust (the "BJH Living Trust").
- F2Held by the BJH Living Trust for which the reporting person is a co-trustee. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.