SEC Form 4 · accession 0000907471-18-000004
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
Jan 4, 2018
Accepted (ET)
Jan 8, 2018 · 4:55 pm EST
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 | Jan 4, 2018 | A | 15,766 | $16.00 | A | 168,096 | I | JTH Trust |
| Common StockF1 | Jan 4, 2018 | D | 5,051 | $89.35 | D | 163,045 | I | JTH Trust |
| Common Stock | holding | — | — | — | 56,384 | I | MLH Trust | |
| Common Stock | holding | — | — | — | 18,310 | I | By ESOP | |
| Common Stock | holding | — | — | — | 3,098 | I | IRA | |
| Common Stock | holding | — | — | — | 324 | I | By Spouse |
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 | Jan 4, 2018 | M | 15,766 | D | Sep 30, 2008 | Sep 30, 2018 | Common Stock | 15,766 | 0 | 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
- F1Reflect shares withheld by the Company to satisfy the purchase of options and tax withholding obligations in connection with exercise of non-qualified stock options.