SEC Form 4 · accession 0001140361-16-049894
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Rogelio Riojas
Director
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 6:36 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 29, 2016 | A | 1,275 | $22.31 | A | 24,913 | 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)F3 | $18.36 | Jan 28, 2015 | A | 862 | A | — | Jan 28, 2025 | Common Stock | 862 | 862 | D |
| Stock Option (Right to Buy)F1 | $8.41 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 1,623 | 1,623 | D |
| Stock Option (Right to Buy)F1 | $9.72 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 1,623 | 1,623 | D |
| Stock Option (Right to Buy)F2 | $16.80 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 6,025 | 6,025 | D |
Explanation of responses
- F1Options vest in five equal annual installments beginning on January 27, 2010.
- F2Options vest in five equal annual installments beginning on January 23, 2015.
- F3Options vest in three equal annual installments beginning on January 28, 2015.