-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TsOql2QrlTXrGHb0lioCm+KOMmrHuP8lCf7P4xdMl3CgAUnHHjrJgv9Wf3iWajGT OQfBTqshfWIgu2b91YSNrw== 0000872835-02-000026.txt : 20021001 0000872835-02-000026.hdr.sgml : 20021001 20021001151944 ACCESSION NUMBER: 0000872835-02-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021001 FILED AS OF DATE: 20021001 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESB FINANCIAL CORP CENTRAL INDEX KEY: 0000872835 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 251659846 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19345 FILM NUMBER: 02778372 BUSINESS ADDRESS: STREET 1: 600 LAWRENCE AVE CITY: ELLWOOD CITY STATE: PA ZIP: 16117 BUSINESS PHONE: 7247585584 MAIL ADDRESS: STREET 1: 600 LAWRENCE AVENUE CITY: ELLWOOD CITY STATE: PA ZIP: 16117 FORMER COMPANY: FORMER CONFORMED NAME: PENNWEST BANCORP INC DATE OF NAME CHANGE: 19910328 FORMER COMPANY: FORMER CONFORMED NAME: PENNFIRST BANCORP INC DATE OF NAME CHANGE: 19960126 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ZUSCHLAG CHARLOTTE A CENTRAL INDEX KEY: 0001180096 RELATIONSHIP: DIRECTOR IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O ESB BANK STREET 2: 600 LAWRENCE AVE CITY: ELLWOOD CITY STATE: PA ZIP: 16117 BUSINESS PHONE: 7247585584 MAIL ADDRESS: STREET 1: C/O ESB BANK STREET 2: 600 LAWRENCE AVE CITY: ELLWOOD CITY STATE: PA ZIP: 16117 4 1 edgar.htm 4 Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

OMB Number: 3235-0287
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Filed By Romeo & Dye's Instant Form 4 Filer
www.section16.net

1. Name and Address of Reporting Person*

Zuschlag Charlotte A.

2. Issuer Name and Ticker or Trading Symbol
ESB Financial Corporation (ESBF)

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
X Director                                       10% Owner
X Officer (give title below)          Other (specify below)

President and Chief Executive officer             

(Last)      (First)     (Middle)

509 Salem Heights Drive
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

###-##-####

4. Statement for
Month/Day/Year
October 1, 2002

(Street)

Gibsonia, PA 15044

5. If Amendment,
Date of Original
(Month/Day/Year)
 		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship Form:
Direct (D)
or Indirect (I)
(Instr. 4)

7. Nature of Indirect
Beneficial Ownership
(Instr. 4)

Code

V

Amount

(A)
or
(D)

Price

Common Stock

 

 

 

 

 

 

 

377.1618(1)

I

Custodian

Common Stock

 

 

 

 

 

 

 

384.4954(2)

I

Custodian

Common Stock

 

 

 

 

 

 

 

381.3271(3)

I

Custodian

Common Stock

 

 

 

 

 

 

 

381.3271(4)

I

Custodian

Common Stock

 

 

 

 

 

 

 

381.3271(5)

I

Custodian

Common Stock

 

 

 

 

 

 

 

176.1041(6)

I

Custodian

Common Stock

 

 

 

 

 

 

 

173.7748(7)

I

Custodian

Common Stock

 

 

 

 

 

 

 

183,831(8)

D

Individual

Common Stock

 

 

 

 

 

 

 

6,100(9)

D

IRA

Common Stock

 

 

 

 

 

 

 

2,222.26632(10)

I

401(k) Plan

Common Stock

 

 

 

 

 

 

 

35,550.8353(11)

I

ESOP
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number
FORM 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security

(Instr. 3)

2. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

Stock Options (Right to Buy)

$5.98

 

 

 

 

 

 

06/20/94

06/20/04

Common Stock

6,897(12)

 

 

D

 

Stock Options (Right to Buy)

$6.82

 

 

 

 

 

 

06/22/95

06/22/05

Common Stock

9,581(13)

 

 

D

 

Stock Options (Right to Buy)

$6.78

 

 

 

 

 

 

07/01/96

07/01/06

Common Stock

15,314(14)

 

 

D

 

Stock Options (Right to Buy)

$7.37

 

 

 

 

 

 

06/17/97

06/17/07

Common Stock

15,332(15)

 

 

D

 

Stock Options (Right to Buy)

$11.36

 

 

 

 

 

 

06/16/98

06/16/08

Common Stock

13,939(16)

 

 

D

 

Stock Options (Right to Buy)

$8.84

 

 

 

 

 

 

06/15/99

06/16/09

Common Stock

9,187(17)

 

 

D

 

Stock Option (Right to Buy)

$8.84

 

 

 

 

 

 

06/15/99

06/15/09

Common Stock

12,235(18)

 

 

D

 

Stock Option (Right to Buy)

$7.21

 

 

 

 

 

 

06/12/00

06/12/10

Common Stock

7,707(19)

 

 

D

 

Stock Option (Right to Buy)

$7.21

 

 

 

 

 

 

06/20/00

06/20/10

Common Stock

12,609(20)

 

 

D

 

Stock Option (Right to Buy)

$9.39

 

 

 

 

 

 

11/20/01

11/20/11

Common Stock

6,872(21)

 

 

D

 

Stock Option (Right to Buy)

$9.39

 

 

 

 

 

 

11/20/01

11/20/11

Common Stock

11,127(22)

 

 

D

 

Explanation of Responses:

(1) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 62.8603 additional shares of common stock.
(2) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 64.0826 additional shares of common stock.
(3) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 63.5545 additional shares of common stock.
(4) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 63.5545 additional shares of common stock.
(5) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 63.5545 additional shar es of common stock.
(6) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 29.3507 additional shares of common stock.
(7) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 28.9625 additional shares of common stock.
(8) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 30,638 additional shares of common stock.
(9) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 1,016 additional shares of common stock.
(10) Between 4/24/02 and 9/30/02 the reporting person acquired 303.91464 shares of ESB common stock under the ESB Financial Corporation 401(k) Plan and on September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 370.37772 additional shares of common stock.
(11) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 5,925.1392 additional shares of common stock.
(12) This option was previously reported as covering 5,748 shares at an exercise price of $7.17 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(13) This option was previously reported as covering 7,985 shares at an exercise price of $8.18 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(14) This option was previously reported as covering 12,762 shares at an exercise price of $8.14 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(15) This option was previously reported as covering 12,777 shares at an exercise price of $8.84 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(16) This option was previously reported as covering 11,616 shares at an exercise price of $13.63 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(17) This option was previously reported as covering 7,656 shares at an exercise price of $10.61 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(18) This option was previously reported as covering 10,196 shares at an exercise price of $10.61 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(19) This option was previously reported as covering 6,423 shares at an exercise price of $ 8.646 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(20) This option was previously reported as covering 10,508 shares at an exercise price of $8.646 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(21) This option was previously reported as covering 5,727 shares at an exercise price of $11.27 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
(22) This option was previously reported as covering 9,273 shares at an exercise price of $11.27 per share, but was adjusted to reflect a six-for-five stock split on September 30, 2002
  By: /s/ Charlotte A. Zuschlag
              
**Signature of Reporting Person		 October 1, 2002
Date

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed.
          If space is insufficient, See Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

 
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