SEC Form 4/A · accession 0001140361-16-055586
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Laura Lee Stewart
Officer — President / CEO
Period of report
Jan 28, 2015
Accepted (ET)
Feb 29, 2016 · 5:27 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 | 4,426 | $18.36 | A | 28,548 | D | |
| Common Stock | holding | — | — | — | 5,621 | I | By ESOP | |
| Common Stock | holding | — | — | — | 18,034 | I | By 401(k) |
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)F4 | $18.36 | Jan 28, 2015 | A | 12,543 | A | — | Jan 28, 2025 | Common Stock | 12,543 | 12,543 | D |
| Stock Option (Right to Buy)F5 | $18.36 | Jan 28, 2015 | A | 8,502 | A | — | Jan 28, 2025 | Common Stock | 8,502 | 8,502 | D |
| Stock Option (Right to Buy)F1 | $8.41 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 5,638 | 5,638 | D |
| Stock Option (Right to Buy)F1 | $9.72 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 5,638 | 5,638 | D |
| Stock Option (Right to Buy)F2 | $8.49 | holding | — | — | — | — | Feb 28, 2022 | Common Stock | 4,371 | 4,371 | D |
| Stock Option (Right to Buy)F3 | $16.80 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 22,895 | 22,895 | 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 February 28, 2013.
- F3Options vest in five equal annual installments beginning on January 23, 2015.
- F4Options vest in three equal annual installments beginning on January 28, 2015.
- F5Options vest in five equal annual installments beginning on January 28, 2016.