SEC Form 4 · accession 0000927089-16-001047
Sunshine Financial, Inc. · SSNF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Swain
Officer — SVP, CFO and Treasurer
Period of report
Dec 8, 2016
Accepted (ET)
Dec 8, 2016 · 4:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001500837
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 8, 2016 | S | 716 | $19.15 | D | 4,200 | D | |
| Common Stock | holding | — | — | — | 2,764 | I | Held in ESOP | |
| Common StockF1 | holding | — | — | — | 4,146 | I | Held in 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $10.75 | holding | — | — | — | Dec 10, 2017 | Dec 10, 2022 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Shares of Company common stock are not directly allocated to 401(k) plan participants, but instead are held in a unitized fund that consists of cash and Company common stock in amounts that vary from time to time. The shares reported above represents the best estimate of the number of share equivalents held by the reporting person in the unitized stock fund of the Company's 401(k) plan. These shares were previously reported by the reporting person as directly owned.