SEC Form 4 · accession 0000907471-18-000128
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 · Director
Period of report
Nov 6, 2018
Accepted (ET)
Nov 7, 2018 · 4:34 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 | Nov 6, 2018 | A | 25,347 | $7.67 | A | 190,377 | I | MLH Trust |
| Common Stock | Nov 6, 2018 | A | 19,785 | $10.60 | A | 210,162 | I | MLH Trust |
| Common StockF1 | Nov 6, 2018 | D | 13,790 | $25.39 | D | 196,372 | I | MLH Trust |
| Common Stock | holding | — | — | — | 519,647 | I | JTH Trust | |
| Common Stock | holding | — | — | — | 55,628 | I | By ESOP | |
| Common Stock | holding | — | — | — | 972 | I | By Spouse | |
| 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 | Nov 6, 2018 | M | 25,347 | D | Sep 30, 2009 | Sep 30, 2019 | Common Stock | 25,347 | 0 | D |
| Stock Option (Right to Buy) | $10.60 | Nov 6, 2018 | M | 19,785 | D | Sep 30, 2010 | Sep 30, 2020 | Common Stock | 19,785 | 0 | 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.