Filing Details
- Accession Number:
- 0001140361-12-048574
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-11-23 11:54:30
- Reporting Period:
- 2012-08-22
- Filing Date:
- 2012-11-23
- Accepted Time:
- 2012-11-23 11:54:30
- Original Submission Date:
- 2012-08-23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1541119 | Sound Financial Bancorp Inc. | SFBC | Savings Institution, Federally Chartered (6035) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1410558 | Lee Laura Stewart | 2005 Fifth Ave, Suite 200 Seattle WA 98121 | President / Ceo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-08-22 | 5,000 | $10.00 | 5,000 | No | 4 | P | Indirect | By 401(k) |
| Common Stock | Acquisiton | 2012-08-22 | 13,034 | $0.00 | 18,034 | No | 4 | J | Indirect | By 401(k) |
| Common Stock | Acquisiton | 2012-08-22 | 2,872 | $0.00 | 2,872 | No | 4 | J | Indirect | By ESOP |
| Common Stock | Acquisiton | 2012-08-22 | 9,973 | $0.00 | 9,973 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By 401(k) |
| No | 4 | J | Indirect | By 401(k) |
| No | 4 | J | Indirect | By ESOP |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2012-08-22 | 9,397 | $0.00 | 9,397 | $8.41 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2012-08-22 | 9,397 | $0.00 | 9,397 | $9.72 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2012-08-22 | 4,371 | $0.00 | 4,371 | $8.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,397 | 2019-01-27 | No | 4 | J | Direct | |
| 18,794 | 2019-01-27 | No | 4 | J | Direct | |
| 23,165 | 2022-02-28 | No | 4 | J | Direct |
Footnotes
- In accordance with the Plan of Conversion and Reorganization of Sound Community MHC, effective August 22, 2012, each outstanding share of common stock of Sound Financial, Inc. was exchanged for 0.87423 shares of Sound Financial Bancorp, Inc. common stock.
- In accordance with the Plan of Conversion and Reorganization of Sound Community MHC, effective August 22, 2012, each outstanding option for a share of Sound Financial, Inc. common stock was exchanged for a stock option for 0.87423 shares of Sound Financial Bancorp, Inc., rounded down to the nearest share. The exercise price was determined by dividing the original exercise price of the exchange option by the 0.87423 exchange ratio.
- Options vest in five equal installments beginning on January 27, 2010.
- Options vest in five equal installments beginning on February 28, 2013.
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