SEC Form 4 · accession 0000907471-18-000108
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 16, 2018
Accepted (ET)
Oct 18, 2018 · 4:57 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 16, 2018 | A | 57,534 | $25.11 | A | 57,534 | D | |
| Common StockF2 | Oct 16, 2018 | G | 57,534 | $0.00 | D | 0 | D | |
| Common StockF2 | Oct 16, 2018 | G | 57,534 | $0.00 | A | 527,196 | I | JTH Trust |
| Common StockF3 | Oct 16, 2018 | F | 7,549 | $25.11 | D | 519,647 | I | JTH Trust |
| Common Stock | holding | — | — | — | 54,931 | I | By ESOP | |
| Common Stock | holding | — | — | — | 972 | I | By Spouse | |
| Common Stock | holding | — | — | — | 165,030 | I | MLH Trust | |
| Common Stock | holding | — | — | — | 9,294 | I | IRA |
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) | $7.67 | holding | — | — | — | Sep 30, 2009 | Sep 30, 2019 | Common Stock | 25,347 | 25,347 | D |
| Stock Option (Right to Buy) | $10.60 | holding | — | — | — | Sep 30, 2010 | Sep 30, 2020 | Common Stock | 19,785 | 19,785 | D |
Explanation of responses
- F1Award pursuant to the Company's 2002 Omnibus Incentive Plan.
- F2The transaction involved a gift of shares from the reporting person to the JTH Trust.
- F3Reflects shares of common stock surrendered to the Company to satisfy tax withholding obligations in connection with the vesting of restricted stock.