SEC Form 4 · accession 0001140361-18-005517
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Lee Stewart
Officer — President / CEO · Director
Period of report
Feb 5, 2018
Accepted (ET)
Feb 7, 2018 · 2:38 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 | Feb 5, 2018 | F | 4,636 | $34.75 | D | 32,552 | D | |
| Common Stock | Feb 5, 2018 | M | 874 | $8.49 | A | 33,426 | D | |
| Common Stock | Feb 5, 2018 | M | 4,579 | $16.80 | A | 38,005 | D | |
| Common Stock | Feb 5, 2018 | M | 4,181 | $18.36 | A | 42,186 | 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 | $8.49 | Feb 5, 2018 | M | 874 | A | — | Feb 28, 2022 | Common Stock | 874 | 1,749 | D |
| Stock Option (Right to Buy)F2 | $16.80 | Feb 5, 2018 | M | 4,579 | A | — | Jan 23, 2024 | Common Stock | 4,579 | 18,316 | D |
| Stock Option (Right to Buy)F3 | $18.36 | Feb 5, 2018 | M | 4,181 | A | — | Jan 28, 2025 | Common Stock | 4,181 | 8,362 | D |
| Stock Option (Right to Buy)F4 | $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 February 28, 2013.
- F2Options vest in five equal annual installments beginning on January 23, 2015.
- F3Options vest in three equal annual installments beginning on January 28, 2015.
- F4Options vest in five equal annual installments beginning on January 28, 2016.