Report of Proposed Sale of Securities (144)
10 Juin 2022 - 9:29PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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OMB
APPROVAL |
OMB
Number: 3235-0101
Expires: July 31,
2023
Estimated average burden hours per
response . . . . . . . . . 1.00 |
SEC
USE ONLY |
DOCUMENT
SEQUENCE NO. |
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CUSIP
NUMBER |
ATTENTION: |
Transmit
for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly
with a market maker. |
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1 (a) NAME
OF ISSUER (Please type or print) |
(b) IRS
IDENT. NO. |
(c) S.E.C.
FILE NO. |
WORK
LOCATION |
William
Penn Bancorporation |
85-3898797 |
001-40255 |
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1 (d) |
ADDRESS
OF ISSUER |
STREET |
CITY |
STATE |
ZIP
CODE |
(e) TELEPHONE
NO. |
10 Canal Street,
Suite 104 |
|
Bristol |
PA |
19007 |
AREA
CODE |
NUMBER |
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267 |
540-8500 |
2 (a) |
NAME
OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
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(b) |
RELATIONSHIP
TO ISSUER |
(c) |
ADDRESS STREET |
CITY |
STATE |
ZIP CODE |
Charles
Corcoran |
|
Director |
10 Canal Street,
Suite 104 |
Bristol |
PA |
19007 |
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INSTRUCTION: The
person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) |
(b) |
SEC
USE ONLY |
(c) |
(d) |
(e) |
(f) |
(g) |
Title
of the Class of Securities To Be Sold |
Name
and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities |
Broker-Dealer
File Number |
Number
of Shares
or Other Units
To Be Sold
(See instr. 3(c)) |
Aggregate
Market
Value
(See instr. 3(d)) |
Number
of Shares
or Other Units
Outstanding
(See instr. 3(e)) |
Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.) |
Name
of Each
Securities
Exchange
(See instr. 3(g)) |
Common |
Fidelity Brokerage Services LLC
900 Salem Street, Smithfield, RI 02917
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13,653 |
$161,105
(as of close on June 9, 2022)
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15,033,466
(as of May 4, 2022)
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6/10/2022 |
Nasdaq
Capital Market |
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INSTRUCTIONS:
1. |
(a) |
Name
of issuer |
3. |
(a) |
Title
of the class of securities to be sold |
|
(b) |
Issuer’s
I.R.S. Identification Number |
|
(b) |
Name
and address of each broker through whom the securities are intended to be sold |
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(c) |
Issuer’s
S.E.C. file number, if any |
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(c) |
Number
of shares or other units to be sold (if debt securities, give the aggregate face amount) |
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(d) |
Issuer’s
address, including zip code |
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(d) |
Aggregate
market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice |
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(e) |
Issuer’s
telephone number, including area code |
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(e) |
Number
of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most
recent report or statement published by the issuer |
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(f) |
Approximate
date on which the securities are to be sold |
2. |
(a) |
Name
of person for whose account the securities are to be sold |
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(g) |
Name
of each securities exchange, if any, on which the securities are intended to be sold |
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(b) |
Such
person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the
foregoing) |
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(c) |
Such
person’s address, including zip code |
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Potential persons who are
to 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.
SEC 1147 (08-07)
TABLE I –– SECURITIES TO BE SOLD
Furnish the following information with respect
to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title
of the Class |
Date
you Acquired |
Nature
of Acquisition Transaction |
Name
of Person from Whom Acquired
(If gift, also give date donor acquired) |
Amount
of Securities Acquired |
Date
of Payment |
Nature
of Payment |
Common
Stock |
Various |
Shares
allocated under the William Penn Bank Employee Stock Ownership Plan as a participant in the plan. |
William
Penn Bank Employee Stock Ownership Plan |
13,653 |
N/A |
N/A |
INSTRUCTIONS: |
If
the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in
a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment
was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last
installment paid. |
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TABLE II –– SECURITIES SOLD DURING
THE PAST 3 MONTHS
Furnish the following information as to all
securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name
and Address of Seller |
Title
of Securities Sold |
Date
of Sale |
Amount
of Securities Sold |
Gross
Proceeds |
N/A |
N/A |
N/A |
N/A |
N/A |
REMARKS:
INSTRUCTIONS: |
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ATTENTION: |
See
the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose
account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall
be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account
of the person filing this notice. |
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The
person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that
he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities
to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions
to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction
given, that person makes such representation as of the plan adoption or instruction date. |
June
10, 2022 |
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/s/
Jonathan T. Logan, Power of Attorney |
DATE
OF NOTICE |
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(SIGNATURE) |
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The
notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice
shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. |
DATE
OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1
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ATTENTION:
Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
SEC 1147 (08-07)
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