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| CIK | 1358254 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to ES Bancshares, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 8, 2024 |
ESBS / ES Bancshares, Inc. / BANC FUNDS CO LLC - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ES Bancshares, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 296049109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 6, 2023 |
ESBS / ES Bancshares, Inc. / BANC FUNDS CO LLC - NONE Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ES Bancshares, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 296049109 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 8, 2022 |
ESBS / ES Bancshares, Inc. / BANC FUNDS CO LLC - NONE Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ES Bancshares, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 296049109 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 11, 2021 |
Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* ES Bancshares, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 296049109 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| May 22, 2012 |
Submission of Matters to a Vote of Security Holders - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 17, 2012 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction) (Commission File No.) (I.R.S. Emplo |
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| May 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 ES BANCSHARES, INC. |
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| May 14, 2012 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 14, 2012 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 Certification and Notice of Termination of Registration under Section 12(g) of the Securities Exchange Act of 1934 or Suspension of Duty to File Reports Under Sections 13 and 15(d) of the Securities Exchange Act of 1934. Commission File Number 000-52178 ES Bancshares, Inc. (Exact name of registrant as specified in its |
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| May 14, 2012 |
- POST-EFFECTIVE AMENDMENT NO. 4 Registration No. 333-141996 As filed with the Securities and Exchange Commission on May 14, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 4 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ES Bancshares, Inc. (Exact Name of Registrant as specified in its Charter) Maryland (State or Other Jurisdiction of Incorporation or |
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| April 20, 2012 |
SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12. |
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| April 10, 2012 |
Financial Statements and Exhibits, Other Events 8-K 1 esbanc8k-032812.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 28, 2012 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisd |
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| March 30, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2011 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-52178 ES Bancshares, Inc. ( |
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| March 30, 2012 |
SUBSIDIARIES OF THE REGISTRANT SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT SUBSIDIARIES OF THE REGISTRANT Subsidiary Ownership State of Incorporation Empire State Bank 100% New York Empire Lockbox Settlements, Inc. 100% New York |
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| March 23, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 20, 2012 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 9, 2012 |
SUBSCRIPTION AGREEMENT ES BANCSHARES, INC. COMMON SHARES, PAR VALUE $0.01 PER SHARE EX-10.1 2 ex10-1.htm SUBSCRIPTION AGREEMENT Exhibit 10.1 SUBSCRIPTION AGREEMENT for ES BANCSHARES, INC. COMMON SHARES, PAR VALUE $0.01 PER SHARE THE COMMON SHARES (“COMMON SHARES”) REFERRED TO HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“SECURITIES ACT”), AND ARE BEING OFFERED AND SOLD IN RELIANCE UPON AN EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THE SECURIT |
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| February 9, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 9, 2012 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 ES BANCSHARES, INC. |
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| August 12, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 ES BANCSHARES, INC. |
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| June 24, 2011 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 20, 2011 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 11, 2011 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2011 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction) (Commission File No.) (I.R.S. Employ |
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| May 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2011 ES BANCSHARES, INC. |
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| April 15, 2011 |
ES Bancshares Reports 2010 Net Income of $488,000 2010 EPS Grows to $0.23 EX-99 2 ex99.htm EXHIBIT 99 Exhibit 99 ES Bancshares, Inc. Investor/Media Contact: 68 North Plank Road Thomas Sperzel Newburgh, New York 12550 Chief Financial Officer (845) 451-7811 ES Bancshares Reports 2010 Net Income of $488,000 2010 EPS Grows to $0.23 Newburgh, NY – April 13, 2011– ES Bancshares, Inc. (OTCBB:ESBS), the holding company for Empire State Bank, today announced net income of $488,0 |
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| April 15, 2011 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 13, 2011 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission File |
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| April 7, 2011 |
SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12. |
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| March 30, 2011 |
Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Subsidiary Ownership State of Incorporation Empire State Bank 100% New York |
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| March 30, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-52178 ES Bancshares, Inc. (Exac |
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| December 17, 2010 |
SUBSCRIPTION AGREEMENT ES BANCSHARES, INC. COMMON SHARES, PAR VALUE $0.01 PER SHARE EX-10.1 2 form8kexh101-121710.htm SUBSCRIPTION AGREEMENT SUBSCRIPTION AGREEMENT for ES BANCSHARES, INC. COMMON SHARES, PAR VALUE $0.01 PER SHARE THE COMMON SHARES (“COMMON SHARES”) REFERRED TO HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“SECURITIES ACT”), AND ARE BEING OFFERED AND SOLD IN RELIANCE UPON AN EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THE SECURIT |
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| December 17, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2010 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2010 ES BANCSHARES, INC. |
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| November 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 21, 2010 ES Bancshares, Inc. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| August 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2010 ES BANCSHARES, INC. |
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| May 5, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2010 ES BANCSHARES, INC. |
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| April 9, 2010 |
DEF 14A 1 ddef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (a |
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| April 8, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K /A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-52178 ES B |
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| March 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-52178 ES Bancshares, Inc. (Exac |
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| March 30, 2010 |
EX-21 2 ex21.htm SUBSIDIARIES EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Subsidiary Ownership State of Incorporation Empire State Bank 100% New York |
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| November 13, 2009 |
10-Q 1 esbanc10q-093009.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2009 ES BANCSHARES, INC. (Exact name of small business issuer as specified in its charter) MARYLAND 20-4663714 (State or other jurisdiction of (I.R.S. Empl |
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| May 20, 2009 |
Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2009 ES BANCSHARES, INC. |
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| April 14, 2009 |
SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12. |
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| March 31, 2009 |
SUBSIDIARIES OF THE REGISTRANT EX-21 2 ex21.htm EXHIBIT 21 EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT SUBSIDIARIES OF THE REGISTRANT Subsidiary Ownership State of Incorporation Empire State Bank 100% New York |
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| March 31, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2008 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-52178 ES Bancshares, Inc. (Exac |
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| October 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2008 ES BANCSHARES, INC. |
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| October 1, 2008 |
Post Effective Amendment No. 3 to Form S-3 As filed with the Securities and Exchange Commission on October 1, 2008 Registration No. 333-141996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST EFFECTIVE AMENDMENT NO. 3 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ES Bancshares, Inc. (Exact Name of Registrant as specified in its Charter) Maryland (S |
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| October 1, 2008 |
Exhibit 99.1 [ES Bancshares, Inc Logo] , 2008 RE: Revised Warrant Exercise Kit Dear ES Bancshares, Inc. Warrant Holder: Set forth below is important information regarding your Common Stock Purchase Warrants in ES Bancshares, Inc: I. Modification of Common Stock Purchase Warrants We previously announced that, ES Bancshares, Inc. (?ES Bancshares?) modified the terms of the ES Bancshares Common Stock |
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| August 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2008 ES BANCSHARES, INC. |
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| June 26, 2008 |
ES Bancshares, Inc. 68 North Plank Road Newburgh, New York 12550 ES Bancshares, Inc. 68 North Plank Road Newburgh, New York 12550 June 26, 2008 VIA FACSIMILE AND EDGAR (202) 772-9208 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: ES Bancshares, Inc. Post Effective Amendment to Registration Statement on Form S-3 (Registration Number 333-141996) Request for Acceleration of Effectiveness Ladies and Gentlemen: ES Bancshares, Inc. ( |
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| June 26, 2008 |
LUSE GORMAN POMERENK & SCHICK A PROFESSIONAL CORPORATION ATTORNEYS AT LAW 5335 WISCONSIN AVENUE, N. |
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| June 26, 2008 |
As filed with the Securities and Exchange Commission on June 26, 2008 Table of Contents As filed with the Securities and Exchange Commission on June 26, 2008 Registration No. |
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| June 13, 2008 |
Form of Exchange Agent Agreement Exhibit 99.2 EXCHANGE AGENT AGREEMENT Date: , 2008 American Stock Transfer & Trust Company 59 Maiden Lane New York, NY 10038 Ladies and Gentlemen: In connection with the modification (“Warrant Modifications”) of certain of the terms of the common stock purchase warrants (“Warrants”) of ES Bancshares, Inc. (the “Company”) whereby all of the Warrant Certificates of t |
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| June 13, 2008 |
EX-99.1 3 dex991.htm LETTER REGARDING INSTRUCTIONS FOR THE EXCHANGE Exhibit 99.1 [ES Bancshares, Inc Logo] , 2008 RE: Good News Regarding Your Warrants Dear ES Bancshares, Inc. Warrant Holder: Set forth below is important information regarding your Common Stock Purchase Warrants in ES Bancshares, Inc: I. Modification of Common Stock Purchase Warrants I am pleased to announce that, effective , 2008 |
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| June 13, 2008 |
As filed with the Securities and Exchange Commission on June 13, 2008 Table of Contents As filed with the Securities and Exchange Commission on June 13, 2008 Registration No. |
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| May 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2008 ES BANCSHARES, INC. |
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| April 7, 2008 |
DEF 14A 1 ddef14a.htm DEFINITIVE NOTICE & PROXY STATEMENT SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commissio |
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| March 31, 2008 |
EXHIBIT 10.6 EMPIRE STATE BANK, N.A. 2004 STOCK OPTION PLAN NON-STATUTORY STOCK OPTION AGREEMENT (OUTSIDE DIRECTOR) A. Stock options (“Options”) for a total of 5,000 shares of Common Stock, par value $5.00 per share, of Empire State Bank, N.A. (the “Association”) are hereby granted to (the “Participant”). The grant and terms of the Options shall be subject in all respects to the Empire State Bank, |
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| March 31, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-KSB 10KSB 1 form10-ksb15777.htm FORM 10-KSB DATED DECEMBER 31, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-KSB [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 20-4663714 (State or other jurisdicti |
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| March 31, 2008 |
EMPIRE STATE BANK, N.A. 2004 STOCK OPTION PLAN STOCK OPTION AGREEMENT EX-10.5 2 exh10-515777.htm STOCK OPTION PLAN - EMPLOYEE EXHIBIT 10.5 EMPIRE STATE BANK, N.A. 2004 STOCK OPTION PLAN STOCK OPTION AGREEMENT (EMPLOYEE) A. Stock options (“Options”) for a total of shares of Common Stock, par value $5.00 per share, of Empire State Bank, N.A. (the “Association”) are hereby granted to (the “Participant”). The grant and terms of the Options shall be subject in all respec |
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| November 8, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMISSION WASHINGTON, DC 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2007 ES BANCSHARES, INC. |
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| August 13, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMISSION WASHINGTON, DC 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2007 ES BANCSHARES, INC. |
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| May 15, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMISSION WASHINGTON, DC 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2007 ES BANCSHARES, INC. |
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| April 19, 2007 |
Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 15, 2007 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or other jurisdiction of incorporation) (Commission File |
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| April 19, 2007 |
ES BANCSHARES, INC. COMMON STOCK PURCHASE WARRANT ELECTION TO PURCHASE Form of Warrant Certificate Exhibit 3.1 Common Stock Purchase Warrant No. Unless Extended By The Company This Warrant Expires Warrants At 5:00 P.M., New York Time on June 28, 2008 ES BANCSHARES, INC. COMMON STOCK PURCHASE WARRANTS ORGANIZED UNDER THE LAWS OF THE STATE OF Maryland CUSIP : THIS CERTIFIES THAT: IS THE OWNER OF Common Stock Purchase Warrants, each of which entitles the owner thereof t |
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| April 19, 2007 |
EX-99.1 3 dex991.htm PRESS RELEASE Exhibit 99.1 Contact: Anthony P. Costa FOR IMMEDIATE RELEASE Chairman and Chief Executive Officer (866) 646-0003 Press Release dated April 19, 2007 ES Bancshares, Inc. Announces Reduction in Exercise Price and Extension of Term of Common Stock Purchase Warrants Newburgh, New York– (April 19, 2007) ES Bancshares, Inc. (the “Company”) (OTCBB: ESBS) announced today |
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| April 12, 2007 |
DEF 14A 1 ddef14a.htm DEFINITIVE NOTICE AND PROXY STATEMENT SCHEDULE 14A (Rule 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commiss |
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| April 10, 2007 |
Letter regarding instructions for the exchange of Common Stock Purchase Warrant [ES Bancshares, Inc Logo] , 2007 RE: Good News Regarding Your Warrants Dear ES Bancshares, Inc. |
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| April 10, 2007 |
Form of Common Stock Purchase Warrant Exhibit 4.3 No. Common Stock Purchase Warrant Unless Extended By The Company This Warrant Expires At 5:00 P.M., New York Time on June 28, 2008 Warrants ES Bancshares, Inc. COMMON STOCK PURCHASE WARRANTS ORGANIZED UNDER THE LAWS OF THE STATE OF MARYLAND CUSIP : THIS CERTIFIES THAT: IS THE OWNER OF Common Stock Purchase Warrants, each of which entitles the owner |
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| April 10, 2007 |
As filed with the Securities and Exchange Commission on April 10, 2007 Table of Contents As filed with the Securities and Exchange Commission on April 10, 2007 Registration No. |
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| March 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-KSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-KSB [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2006 ES BANCSHARES, INC. |
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| November 14, 2006 |
ARTICLES OF INCORPORATION ES BANCSHARES, INC. EXHIBIT 3.1 ARTICLES OF INCORPORATION OF ES BANCSHARES, INC. The undersigned, Kip A. Weissman, whose address is 5335 Wisconsin Avenue, N.W., Suite 400, Washington, DC 20015, being at least eighteen years of age, acting as incorporator, does hereby form a corporation under the general laws of the State of Maryland, having the following Articles of Incorporation (the “Articles”): ARTICLE 1. Name. Th |
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| November 14, 2006 |
BYLAWS ES BANCSHARES, INC. ARTICLE I EXHIBIT 3.2 BYLAWS OF ES BANCSHARES, INC. ARTICLE I STOCKHOLDERS Section 1. Annual Meeting. The Corporation shall hold an annual meeting of its stockholders to elect directors and to transact any other business within its powers on the last day of April of each year, or on a date within thirty-one (31) days of the last day of April of each year, to be designated by the Board of Directors. Except a |
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| November 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMISSION WASHINGTON, DC 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2006 ES BANCSHARES, INC. |
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| August 14, 2006 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 ES Bancshares, Inc. (Exact Name of Registrant as Specified in Its Charter) Maryland 20-4663714 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 68 North Plank Road Newburgh, New York |
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| August 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMISSION WASHINGTON, DC 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 ES BANCSHARES, INC. |
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| August 14, 2006 |
EXHIBIT 99.1 Empire State Bank, National Association Form 10-QSB for the quarterly period ended June 30, 2006 OFFICE OF THE COMPTROLLER OF THE CURRENCY WASHINGTON, DC 20219 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 EMPIRE STATE BANK, NATIONAL ASSOCIATION (Exact name of small business issuer as specifie |
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| August 14, 2006 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 14, 2006 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 000-52178 20-4663714 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 14, 2006 |
ES Bancshares, Inc. Code of Business Conduct and Ethics EXHIBIT 16 ES Bancshares, Inc. Code of Business Conduct and Ethics Section 1 - Overview 1.1 Purpose of the Code This Code of Business Conduct and Ethics (“Code”) is intended to deter wrongdoing and promote: · Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships; · Full, fair, accurate timely and under |
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| May 16, 2006 |
Exhibit 99.2 REVOCABLE CERTIFICATION AND CONSENT THIS CERTIFICATION AND CONSENT IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS Empire State Bank, N.A. CONSENT: The undersigned hereby consents to the following: The adoption of the Agreement and Plan of Share Exchange dated (the “Plan”) pursuant to which Empire State Bank (the “Bank”) will become a wholly-owned subsidiary of ES Bancshares, Inc. (t |
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| May 16, 2006 |
Empire State Bank, N.A. ANNUAL MEETING OF STOCKHOLDERS June 19 , 2006 Exhibit 99.1 - REVOCABLE PROXY Exhibit 99.1 REVOCABLE PROXY REVOCABLE PROXY Empire State Bank, N.A. ANNUAL MEETING OF STOCKHOLDERS June 19 , 2006 The undersigned hereby appoints the Proxy Committee of the Board of Directors of Empire State Bank, N.A. (the "Bank") with full powers of substitution, to act as attorneys and proxies for the undersigned to vote all shares of capital stock of the Bank wh |
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| May 16, 2006 |
ORGANIZER’S WARRANT AGREEMENT TO PURCHASE Exhibit 4.3 W- Newburgh, New York ORGANIZER?S WARRANT AGREEMENT TO PURCHASE COMMON STOCK OF EMPIRE STATE BANK, NA This is to certify that, FOR VALUE RECEIVED, the undersigned (the ?Holder?), in exchange for the surrender of warrant No. (the ?Prior Warrant?) to purchase shares of the common stock of Empire State Bank, N.A., a national banking association (the ?Bank?), is entitled to purchase, subje |
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| May 16, 2006 |
[Luse Gorman Pomerenk & Schick Letterhead] May 16, 2006 [Luse Gorman Pomerenk & Schick Letterhead] May 16, 2006 Via EDGAR Mr. Mark Webb Legal Branch Chief Division of Corporate Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549> RE: ES Bancshares, Inc. Registration Statement on Form S-4 File No. 333-133029 Dear Mr. Webb: On behalf of ES Bancshares, Inc. (the ?Registrant?) and in accordance with Rule 101 of Regulation |
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| May 16, 2006 |
As Filed With The Securities and Exchange Commission on May 16 , 2006 S-4/A 1 s4amain3.htm As Filed With The Securities and Exchange Commission on May 16 , 2006 Registration No. 333-133029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-4/ AMENDMENT NO. 3 REGISTRATION STATEMENT Under The Securities Act of 1933 ES BANCSHARES, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 6712 (to be applied for) (State or other ju |
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| May 1, 2006 |
As Filed With The Securities and Exchange Commission on April 28 18 , 2006 As Filed With The Securities and Exchange Commission on April 28 18 , 2006 Registration No. |
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| May 1, 2006 |
(202) 274-2029 [email protected] April 28, 2006 VIA EDGAR AND FAX Mr. Mark Webb Legal Branch Chief Division of Corporate Finance U.S. Securities and Exchange Commission 100 F Street, EE Washington, DC 20549 RE: ES Bancshares, Inc. Registration Statement on Form S-4 File No. 333-133029 Dear Mr. Webb: On behalf of ES Bancshares, Inc. (the ?Registrant?) and in accordance with Rule 101 of Regulati |
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| May 1, 2006 |
ORGANIZER’S WARRANT AGREEMENT TO PURCHASE Exhibit 4.3 W- Newburgh, New York ORGANIZER?S WARRANT AGREEMENT TO PURCHASE COMMON STOCK OF EMPIRE STATE BANK, NA This is to certify that, FOR VALUE RECEIVED, the undersigned (the ?Holder?), in exchange for the surrender of warrant No. (the ?Prior Warrant?) to purchase shares of the common stock of Empire State Bank, N.A., a national banking association (the ?Bank?), is entitled to purchase, subje |
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| May 1, 2006 |
ORGANIZER’S WARRANT AGREEMENT TO PURCHASE Exhibit 4.3 W- Newburgh, New York ORGANIZER?S WARRANT AGREEMENT TO PURCHASE COMMON STOCK OF EMPIRE STATE BANK, NA This is to certify that, FOR VALUE RECEIVED, the undersigned (the ?Holder?), in exchange for the surrender of warrant No. (the ?Prior Warrant?) to purchase shares of the common stock of Empire State Bank, N.A., a national banking association (the ?Bank?), is entitled to purchase, subje |
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| May 1, 2006 |
As Filed With The Securities and Exchange Commission on April 28 18 , 2006 As Filed With The Securities and Exchange Commission on April 28 18 , 2006 Registration No. |
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| April 18, 2006 |
ORGANIZER’S WARRANT TO PURCHASE COMMON STOCK EMPIRE STATE BANK, NA Organizer Warrant Agreement Exhibit 4.3 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, NOR REGISTERED OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED, PLEDGED OR HYPOTHECATED, UNLESS QUALIFIED AND REGISTERED UNDER APPLICABLE STATE AND FEDERAL S |
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| April 18, 2006 |
EMPIRE STATE BANK, NATIONAL ASSOCIATION COMMON STOCK PURCHASE WARRANT ELECTION TO PURCHASE Warrant Agreement Exhibit 4.2 Common Stock Purchase Warrant No. Unless Extended By The Bank This Warrant Expires Warrants At 5:00 P.M., New York Time on June 28, 2007 EMPIRE STATE BANK NATIONAL ASSOCIATION COMMON STOCK PURCHASE WARRANTS ORGANIZED UNDER THE LAWS OF THE UNITED STATES OF AMERICA THIS CERTIFIES THAT: IS THE OWNER OF Common Stock Purchase Warrants, each of which entitles the owner ther |
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| April 18, 2006 |
As Filed With The Securities and Exchange Commission on April 18, 2006 As Filed With The Securities and Exchange Commission on April 18, 2006 Registration No. |
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| April 18, 2006 |
(202) 274-2029 [email protected] April 18, 2006 Via EDGAR and Fax Mr. Todd Schiffman Assistant Director Division of Corporate Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: ES Bancshares, Inc. Registration Statement on Form S-4 File No. 333-133029 Dear Mr. Schiffman: On behalf of ES Bancshares, Inc. (the ?Company?) and in accordance with Rule 101 of R |
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| April 6, 2006 |
AGREEMENT AND PLAN OF SHARE EXCHANGE Exhibit 2.1 THIS AGREEMENT AND PLAN OF SHARE EXCHANGE (the "Plan"), made and entered into as of the 21st day of March, 2006, between Empire State Bank, National Association (the "Bank"), a national bank organized under the laws of the United States of America, and ES Bancshares, Inc. (the "Company"), a Maryland corporation. WITNESSETH WHEREAS, the Board of Dire |
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| April 6, 2006 |
EMPIRE STATE BANK, N.A. 2004 STOCK OPTION PLAN Exhibit 10.4 - Appendix B Exhibit 10.4 EMPIRE STATE BANK, N.A. 2004 STOCK OPTION PLAN 1. Purpose The purposes of the Empire State Bank, N.A. (the “Association”) 2004 Stock Option Plan (the “Plan”) are to attract and retain the best available personnel for positions of substantial responsibility, to provide additional incentive to Employees, Directors and Consultants and to promote the success of t |
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| April 6, 2006 |
INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND EX-4 5 ex04stockcertificatehc.htm INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND No Shares ES BANCSHARES, INC. FULLY PAID AND NON-ASSESSABLE PAR VALUE $0.01 PER SHARE THE SHARES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO RESTRICTIONS, SEE REVERSE SIDE THIS CERTIFIES that is the owner of SHARES OF COMMON STOCK of ES Bancshares, Inc. a Maryland corporation The shares evidenced by this cert |
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| April 6, 2006 |
As Filed With The Securities and Exchange Commission on April 5, 2006 As Filed With The Securities and Exchange Commission on April 5, 2006 Registration No. |
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| April 6, 2006 |
Exhibit 10.3 - EMPLOYMENT AGREEMENT Budich Exhibit 10.3 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated as of the 20th, day of October ,2005 (the “Effective Date”), is by and between Empire State Bank, NA, a national banking association (“ESB”), and Arthur Budich (the “Executive”). ESB and the Executive are sometimes collectively referred to herein as the “parties.” WHEREAS, th |
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| April 6, 2006 |
Empire State Bank, N.A. ANNUAL MEETING OF STOCKHOLDERS June 12, 2006 Exhibit 99.1 REVOCABLE PROXY REVOCABLE PROXY Empire State Bank, N.A. ANNUAL MEETING OF STOCKHOLDERS June 12, 2006 The undersigned hereby appoints the Proxy Committee of the Board of Directors of Empire State Bank, N.A. (the "Bank") with full powers of substitution, to act as attorneys and proxies for the undersigned to vote all shares of capital stock of the Bank which the undersigned is entitled |
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| April 6, 2006 |
Subsidiaries of the Registrant Exhibit 21 Exhibit 21 Subsidiaries of the Registrant Name State of Incorporation Empire State Bank, N.A. Federal |
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| April 6, 2006 |
Employment Agreement Exhibit 10.2 |
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| April 6, 2006 |
Exhibit 10.1 - Employment Agreement Exhibit 10.1 |
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| April 6, 2006 |
Exhibit 3.2 - Bylaws Exhibit 3.2 BYLAWS OF ES BANCSHARES, INC. ARTICLE I STOCKHOLDERS Section 1. Annual Meeting. The Corporation shall hold an annual meeting of its stockholders to elect directors and to transact any other business within its powers on the last day of April of each year, or on a date within thirty-one (31) days of the last day of April of each year, to be designated by the Board o |
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| April 6, 2006 |
ARTICLES OF INCORPORATION OF ES BANCSHARES, INC. Exhibit 3.1 - ARTICLES OF INCORPORATION Exhibit 3.1 ARTICLES OF INCORPORATION OF ES BANCSHARES, INC. The undersigned, Kip A. Weissman, whose address is 5335 Wisconsin Avenue, N.W., Suite 400, Washington, DC 20015, being at least eighteen years of age, acting as incorporator, does hereby form a corporation under the general laws of the State of Maryland, having the following Articles of Incorporati |
