-----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, MXQNBRj5OSqzZ4T2picNNH1xTPdAi0BjZ6a1mx9LyhBXr1Ql9xb+nzme7ZBVsTJw A/zk46xPHLq7WDQ1tG+3xQ== 0000872835-02-000032.txt : 20021001 0000872835-02-000032.hdr.sgml : 20021001 20021001155323 ACCESSION NUMBER: 0000872835-02-000032 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: 02778507 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: MARTZ FRANK D CENTRAL INDEX KEY: 0001180108 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*

Martz Frank D.

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

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

Senior Vice President of Operations/Secretary     

(Last)      (First)     (Middle)

516 Rhode Island Avenue
 

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

###-##-####

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

(Street)

Ellwood City, PA 16117

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

 

 

 

 

 

 

 

64,627(1)

D

Husband and Wife

Common Stock

 

 

 

 

 

 

 

6,785.0513(2)

I

ESOP (by Wife)

Common Stock

 

 

 

 

 

 

 

20,004.6860(3)

I

ESOP

Common Stock

 

 

 

 

 

 

 

1,549.87384(4)

I

401(k) Plan

Common Stock

 

 

 

 

 

 

 

459.41860(5)

I

401(k) Plan (by Wife)

Common Stock

 

 

 

 

 

 

 

960(6)

D

Individual
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)

$6.78

 

 

 

 

 

 

07/01/96

07/01/06

Common Stock

5,733(7)

 

 

D

 

Stock Options (Right to Buy)

$7.37

 

 

 

 

 

 

06/17/97

06/17/07

Common Stock

5,749(8)

 

 

D

 

Stock Options (Right to Buy)

$11.36

 

 

 

 

 

 

06/16/98

06/16/08

Common Stock

5,224(9)

 

 

D

 

Stock Options (Right to Buy)

$8.84

 

 

 

 

 

 

06/15/99

06/15/09

Common Stock

7,128(10)

 

 

D

 

Stock Options (Right to Buy)

$7.21

 

 

 

 

 

 

06/20/01(11)

06/20/10

Common Stock

11,520(12)

 

 

D

 

Stock Option (Right to Buy)

$9.39

 

 

 

 

 

 

11/20/01

11/20/11

Common Stock

3,960(13)

 

 

D

 

Stock Option (Right to Buy)

$6.78

 

 

 

 

 

 

07/01/96

07/01/06

Common Stock

957(14)

 

 

D

 

Stock Option (Right to Buy)

$7.37

 

 

 

 

 

 

06/17/97

07/17/07

Common Stock

957(15)

 

 

D

 

Stock Option (Right to Buy)

$11.36

 

 

 

 

 

 

06/16/98

06/16/08

Common Stock

871(16)

 

 

D

 

Stock Option (Right to Buy)

$8.84

 

 

 

 

 

 

06/15/99

06/15/09

Common Stock

950(17)

 

 

D

 

Stock Option (Right to Buy)

$7.21

 

 

 

 

 

 

06/20/00

06/20/10

Common Stock

1,080(18)

 

 

D

 

Stock Option (Right to Buy)

$9.39

 

 

 

 

 

 

11/20/01

11/20/11

Common Stock

900(19)

 

 

D

 

Explanation of Responses:

(1) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the reporting person's acquisition of 10,771 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 1,130.8419 additional shares of common stock.
(3) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the reporting person's acquisition of 3,334.1143 additional shares of common stock.
(4) Between 4/24/02 and 9/30/02 the reporting person acquired 167.47605 shares of ESB common stock under the ESB Financial Corporation 401(k) Plan. On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 258.31231 additional shares of com mon stock.
(5) Between 4/24/02 and 9/30/02 the reporting person's wife acquired 53.50698 shares of ESB common stock under the ESB Financial Corporation 401(k) Plan. On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the acquisition of 76.56977 additional shares of common stock.
(6) On September 30, 2002, ESB Financial Corporation had a six-for-five stock split, resulting in the reporting person's acquisition of 160 additional shares of common stock.
(7) The stock option was previously reported as covering 4,778 shares at an exercise price of $8.14 per share, but was adjusted to reflect a six-for-five stocksplit on September 30, 2002.
(8) The stock option was previously reported as covering 4,791 shares at an exercise price of $8.84 per share, but was adjusted to reflect a six-for-five stocksplit on September 30, 2002 .
(9) The stock option was previously reported as covering 4,354 shares at an exercise price of $13.63 per share, but was adjusted to reflect a six-for-five stocksplit on September 30, 2002.
(10) The stock option was previously reported as covering 5,940 shares at an exercise price of $10.61 per share, but was adjusted to reflect a six-for-five stocksplit on September 30, 2002.
(11) The option vests in three equal annual installments beginning on June 20, 2001
(12) The stock option was previously reported as covering 9,600 shares at an exercise price of $8.646 per share, but was adjusted to reflect a six-for-five stocksplit on September 30, 2002.
(13) The stock option was previously reported as covering 3,300 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.
(14) The stock option was previously reported as covering 798 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) The stock option was previously reported as covering 798 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) The stock option was previously reported as covering 726 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) The stock option was previously reported as covering 792 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) The stock option was previously reported as covering 900 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.
(19) The stock option was previously reported as covering 750 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/ Frank D. Martz
              
**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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