SEC Form 4 · accession 0001140361-17-029628
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Lee Stewart
Officer — President / CEO
Period of report
Jul 31, 2017
Accepted (ET)
Aug 1, 2017 · 5:07 pm EDT
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 | Jul 31, 2017 | M | 1,879 | $8.41 | A | 35,139 | D | |
| Common Stock | Jul 31, 2017 | M | 1,879 | $9.72 | A | 37,018 | D | |
| Common Stock | Jul 31, 2017 | M | 1,748 | $8.49 | A | 38,766 | D | |
| Common Stock | Jul 31, 2017 | F | 1,578 | $31.00 | D | 37,188 | D | |
| Common Stock | holding | — | — | — | 9,024 | 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)F1 | $8.41 | Jul 31, 2017 | M | 1,879 | D | — | Jan 27, 2019 | Common Stock | 1,879 | 0 | D |
| Stock Option (Right to Buy)F1 | $9.72 | Jul 31, 2017 | M | 1,879 | D | — | Jan 27, 2019 | Common Stock | 1,879 | 0 | D |
| Stock Option (Right to Buy)F2 | $8.49 | Jul 31, 2017 | M | 1,748 | D | — | Feb 28, 2022 | Common Stock | 1,748 | 2,623 | D |
| Stock Option (Right to Buy)F3 | $16.80 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 22,895 | 22,895 | D |
| Stock Option (Right to Buy)F4 | $18.36 | holding | — | — | — | — | Jan 28, 2025 | Common Stock | 12,543 | 12,543 | D |
| Stock Option (Right to Buy)F5 | $18.36 | holding | — | — | — | — | Jan 28, 2025 | Common Stock | 8,502 | 8,502 | 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.