ESP Espey Manufacturing & Electronics

Filed: 12 Oct 21, 8:00pm






Washington, D. C. 20549






Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report

October 8, 2021




(Exact name of registrant as specified in its charter)


New York 001-04383 14-1387171
(State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.)


233 Ballston Avenue, Saratoga Springs, New York 12866

(Address of principal executive offices)


(518) 584-4100

(Registrant’s telephone number, including area code)


Not Applicable
(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act


Title of each classTrading SymbolName of each exchange on which registered
Common Stock $.33-1/3 par valueESPNYSE American
Common Stock Purchase RightsTrueNYSE American


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.






Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


The Employment Agreement with President and Chief Executive Officer, Patrick T. Enright, Jr., effective as of February 1, 2018, has been amended.


The Amendment provides for an extension of the employment term through January 31, 2024.


Item 9.01. Financial Statements and Exhibits.


Exhibit 10.16a First Amendment to Employment Agreement dated January 16, 2018 with Patrick Enright, Jr.


Exhibit 104 Cover Page Interactive Data File (embedded within the Inline XBRL document)




Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date:  October 12, 2021 ESPEY MFG. & ELECTRONICS CORP.    
 By:/s/ David O’Neil
  David O’Neil
Principal Financial Officer and Executive Vice President