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ESSA Bancorp, Inc. – ‘SC 13G/A’ on 6/29/20 re: ESSA Bancorp, Inc.

On:  Monday, 6/29/20, at 5:08pm ET   ·   Accession #:  943374-20-349   ·   File #:  5-82833

Previous ‘SC 13G’:  ‘SC 13G/A’ on 2/6/20   ·   Next:  ‘SC 13G/A’ on 2/4/21   ·   Latest:  ‘SC 13G/A’ on 2/9/24

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/29/20  ESSA Bancorp, Inc.                SC 13G/A               1:36K  ESSA Bancorp, Inc.                Luse Gorman, PC/FA

Amendment to Statement of Acquisition of Beneficial Ownership by a Passive Investor   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Essa Bancorp, Inc. Schedule 13G (Amendment 12)      HTML     29K 
                December 31, 2019                                                


This is an HTML Document rendered as filed.  [ Alternative Formats ]



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


SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment 12)*


ESSA Bancorp, Inc.
(Name of Issuer)


Common Stock, par value $0.01 per share
(Title of Class of Securities)

29667D104
(CUSIP Number)

December 31, 2019
(Date of Event Which Requires Filing of This Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).





Page 1 of 5 Pages



CUSIP NO. 29667D104
13G
Page 2 of 5 Pages


1
Names of Reporting Persons
 
ESSA Bank & Trust
Employee Stock Ownership Plan Trust
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a)
(b)
3
SEC Use Only
4
Citizenship or Place of Organization
 
Pennsylvania
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
 
769,800
6
Shared Voting Power
 
393,805
7
Sole Dispositive Power
 
1,136,429
8
Shared Dispositive Power
 
27,176
9
Aggregate Amount Beneficially Owned by Each Reporting Person
 
1,163,605
10
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
11
Percent of Class Represented by Amount in Row 9
 
10.3% of 11,290,451 shares of Common Stock outstanding as of December 31, 2019.
12
Type of Reporting Person (See Instructions)
 
EP


CUSIP NO. 29667D104
13G
Page 3 of 5 Pages

Item 1


(a)
Name of Issuer

ESSA Bancorp, Inc.


(b)
Address of Issuer's Principal Executive Offices

200 Palmer Street
Stroudsburg, Pennsylvania 18360
Item 2


(a)
Name of Person Filing

ESSA Bank & Trust
Employee Stock Ownership Plan Trust
Trustee: TI-Trust, Inc.


(b)
Address of Principal Business Office

c/o TI-Trust, Inc.
2900 North 23rd Street
Quincy, Illinois 62305


(c)
Citizenship or Place of Organization

See Page 2, Item 4.


(d)
Title of Class of Securities

Common Stock, par value $0.01 per share


(e)
CUSIP Number

See Page 1.

Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b, or (c), check whether the person filing is a:

(f) ☒ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).


CUSIP NO. 29667D104
13G
Page 4 of 5 Pages
 

Item 4.
Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.


(a)
Amount beneficially owned: See Page 2, Item 9.

(b)
Percent of class: See Page 2, Item 11.

(c)
Number of shares as to which the person has:


(i)
Sole power to vote or to direct the vote: See Page 2, Item 5.

(ii)
Shared power to vote or to direct the vote: See Page 2, Item 6.

(iii)
Sole power to dispose or to direct the disposition of: See Page 2, Item 7.

(iv)
Shared power to dispose or to direct the disposition of: See Page 2, Item 8.

Item 5.
Ownership of Five Percent or Less of a Class

Not applicable

Item 6.
Ownership of More Than Five Percent on Behalf of Another Person

Not applicable

Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Not applicable

Item 8.
Identification and Classification of Members of the Group

The reporting person is an employee benefit plan subject to the provisions of the Employee Retirement Income Security Act of 1974.

Item 9.
Notice of Dissolution of Group

Not applicable

Item 10.
Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

CUSIP NO. 29667D104
13G
Page 5 of 5 Pages
 

SIGNATURE


After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.


 
ESSA BANK & TRUST
EMPLOYEE STOCK OWNERSHIP
PLAN TRUST
   
   
   
   /s/ Craig Baker
 
 
Title: Senior Trust Officer



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed on:6/29/20
2/5/20
12/31/1910-Q
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Filing Submission 0000943374-20-000349   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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