SEC Form 4 · accession 0001140361-17-044250
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Sweeney
Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 6:46 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 | Nov 27, 2017 | M | 541 | $8.41 | A | 7,470 | D | |
| Common Stock | Nov 27, 2017 | M | 541 | $9.72 | A | 8,011 | D | |
| Common Stock | Nov 27, 2017 | S | 12 | $33.50 | D | 7,999 | D | |
| Common Stock | Nov 28, 2017 | S | 1,070 | $32.69 | D | 6,929 | D | |
| Common Stock | holding | — | — | — | 8,742 | I | 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 | Nov 27, 2017 | M | 541 | D | — | Jan 27, 2019 | Common Stock | 541 | 1,082 | D |
| Stock Option (Right to Buy)F1 | $9.72 | Nov 27, 2017 | M | 541 | D | — | Jan 27, 2019 | Common Stock | 541 | 1,082 | D |
| Stock Option (Right to Buy)F2 | $16.80 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 6,025 | 6,025 | D |
| Stock Option (Right to Buy)F3 | $18.36 | holding | — | — | — | — | Jan 28, 2025 | Common Stock | 862 | 862 | 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.