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Espey (ESP) director Carl Helmetag exercises stock options and updates holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ESPEY MFG & ELECTRONICS CORP director Carl Helmetag exercised stock options to acquire 2,000 shares of common stock at $21.75 per share. After this transaction, he directly holds 24,169 common shares and indirectly holds 1,504 shares through an IRA. The exercised options relate to a stock option originally exercisable from October 10, 2019, and expiring October 10, 2027, with 14,542 option shares reported as remaining after the exercise.

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Insider HELMETAG CARL
Role null
Type Security Shares Price Value
Exercise Stock Option 2,000 $21.75 $44K
Exercise Common Stock - $.33 1/3 par value 2,000 $21.75 $44K
holding Common Stock - $.33 1/3 par value -- -- --
Holdings After Transaction: Stock Option — 14,542 shares (Direct, null); Common Stock - $.33 1/3 par value — 24,169 shares (Direct, null); Common Stock - $.33 1/3 par value — 1,504 shares (Indirect, IRA)
Footnotes (1)
Shares acquired via option exercise 2,000 shares Common stock acquired through option exercise on 2026-05-21
Exercise price $21.75 per share Stock option and common stock transaction price
Direct common shares after transaction 24,169 shares Total direct holdings following exercise
Indirect common shares in IRA 1,504 shares Indirect ownership reported as held in IRA
Remaining option shares 14,542 shares Stock options remaining after exercising 2,000 shares
Option exercisability date October 10, 2019 Date from which the option was exercisable
Option expiration date October 10, 2027 Expiration of the reported stock option
Stock Option financial
"security_title": "Stock Option""
A stock option is a contract that gives you the right to buy or sell a company's stock at a specific price within a certain time frame. People use them to potentially make money if the stock's price moves favorably or to protect against losses. It's like holding a coupon that can be used to buy or sell stock at a set price later on.
Common Stock - $.33 1/3 par value financial
"security_title": "Common Stock - $.33 1/3 par value""
IRA financial
"nature_of_ownership": "IRA""
An individual retirement account (IRA) is a savings account designed to help people put aside money for their retirement, often with tax advantages that encourage long-term savings. It matters to investors because it can grow over time, providing financial security later in life, and offers benefits that can reduce current taxes or allow investments to compound more effectively.
derivative exercise/conversion financial
"transaction_action": "derivative exercise/conversion""
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
HELMETAG CARL
(Last)(First)(Middle)
339 SEA VIEW AVE
(Street)
RIVERSIDE RHODE ISLAND 02915
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ESPEY MFG & ELECTRONICS CORP [ ESP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/21/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock - $.33 1/3 par value05/21/2026M2,000A$21.7524,169D
Common Stock - $.33 1/3 par value1,504IIRA
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. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option$21.7505/21/202605/21/2026M2,00010/10/201910/10/2027Common Stock2,000$21.7514,542D
Explanation of Responses:
/s/ Carl Helmetag05/21/2026
** Signature of Reporting PersonDate
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).
** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did ESP director Carl Helmetag report in this Form 4?

Carl Helmetag reported exercising stock options for 2,000 shares of Espey common stock at $21.75 per share. The filing also updates his direct and indirect share ownership and remaining option balance tied to this grant.

How many ESP common shares does Carl Helmetag own after the transactions?

After the reported transactions, Carl Helmetag directly owns 24,169 shares of Espey common stock. He also has an indirect holding of 1,504 shares through an IRA account, as disclosed in the ownership details.

What stock option did Carl Helmetag exercise according to the ESP Form 4?

He exercised a stock option covering 2,000 underlying shares of Espey common stock at an exercise price of $21.75. The option became exercisable on October 10, 2019, and has an expiration date of October 10, 2027.

How many ESP stock options remain after Carl Helmetag’s exercise?

Following the option exercise of 2,000 shares, the Form 4 shows 14,542 stock option shares remaining. This reflects the continuing derivative position tied to the same option award after the reported transaction.

What indirect ESP holdings does Carl Helmetag report?

Carl Helmetag reports indirect ownership of 1,504 shares of Espey common stock held through an IRA. This is separate from his directly held 24,169 shares and is identified as indirect ownership in the filing.