SEC Form 4 · accession 0000907471-17-000096
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 11, 2017
Accepted (ET)
Oct 13, 2017 · 4:19 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, 2017 | F | 1,517 | $85.00 | D | 129,979 | I | BJH Living Trust |
| Common StockF2 | Oct 11, 2017 | A | 11,211 | $85.00 | A | 11,211 | D | |
| Common StockF3 | Oct 11, 2017 | G | 11,211 | $0.00 | D | 0 | D | |
| Common StockF3 | Oct 11, 2017 | G | 11,211 | $0.00 | A | 141,190 | I | BJH Living Trust |
| Common StockF1 | Oct 11, 2017 | F | 1,568 | $85.00 | D | 139,622 | 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) | $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 |
| Stock Option (Right to Buy) | $16.00 | holding | — | — | — | Sep 30, 2008 | Sep 30, 2018 | Common Stock | 6,250 | 6,250 | D |
Explanation of responses
- F1Reflects shares of common stock surrendered to the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock.
- F2Award pursuant to the Company's 2002 Omnibus Incentive Plan.
- F3The transaction involved a gift of shares from the reporting person to the BJH Living Trust.