SEC Form 4 · accession 0000927089-18-000426
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heidi Sexton
Officer — Executive Vice President/COO
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001541119
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 19, 2018 | A | 123 | $0.00 | A | 2,291 | D | |
| Common Stock | holding | — | — | — | 5,431 | I | Held by ESOP | |
| Common Stock | holding | — | — | — | 2,264 | I | Held by 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $35.27 | Nov 19, 2018 | A | 1,400 | A | — | Nov 19, 2028 | Common Stock | 1,400 | 1,400 | D |
| Stock Option (Right to Buy)F2 | $9.72 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 271 | 271 | D |
| Stock Option (Right to Buy)F2 | $8.41 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 271 | 271 | D |
| Stock Option (Right to Buy)F2 | $8.49 | holding | — | — | — | — | Feb 28, 2022 | Common Stock | 4,414 | 4,414 | D |
| Stock Option (Right to Buy)F3 | $22.31 | holding | — | — | — | — | Jan 29, 2026 | Common Stock | 1,500 | 1,500 | D |
| Stock Option (Right to Buy)F4 | $28.34 | holding | — | — | — | — | Jan 27, 2027 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Vests in five equal annual installments commencing on November 19, 2019.
- F2Exercisable currently at any time.
- F3Vests in five equal annual installments beginning on January 29, 2017.
- F4Vests in three equal annual installments beginning on January 27, 2017.