SEC Form 4 · accession 0001140361-15-003328
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelli Nielsen
Officer — SVP / Retail & Marketing
Period of report
Jan 28, 2015
Accepted (ET)
Jan 30, 2015 · 5:12 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 Stock | Jan 28, 2015 | A | 1,135 | $18.36 | A | 3,635 | D |
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 | $16.80 | Jan 23, 2014 | A | 4,215 | A | — | Jan 23, 2024 | Common Stock | 4,215 | 4,215 | D |
| Stock Option (Right to Buy)F2 | $18.36 | Jan 28, 2015 | A | 2,873 | A | — | Jan 28, 2025 | Common Stock | 2,873 | 2,873 | D |
Explanation of responses
- F1Options vest in five equal annual installments beginning on January 23, 2015.
- F2Options vest in three equal annual installments beginning on January 28, 2015.