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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1766526	Tectonic Financial Inc.	TECTP	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1283832	Haag A Sherman	C/O Tectonic Financial, Inc. 16200 Dallas Parkway, Suite 190 Dallas TX 75248	Chief Executive Officer	Yes	Yes	Yes	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	2019-05-13	875,500	$0.00	1,751,000	No	4	A	Indirect	See footnote
Common Stock	Acquisiton	2019-05-13	190,250	$0.00	380,500	No	4	A	Indirect	See footnote
Common Stock	Acquisiton	2019-05-13	9,750	$0.00	19,500	No	4	A	Indirect	By individual retirement account
Series B Preferred Stock	Acquisiton	2019-05-14	5,000	$10.00	5,000	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Indirect	See footnote
No	4	A	Indirect	See footnote
No	4	A	Indirect	By individual retirement account
No	4	P	Direct

Footnotes

Received in exchange for 1,751,000 common units of Tectonic Holdings, LLC ("Tectonic Holdings") in connection with the merger of Tectonic Holdings with and into the Issuer, with the Issuer continuing as the surviving company (the "Merger"). At the effective time of the Merger, each common unit of Tectonic Holdings was converted into the right to receive one share of the Issuer's common stock.
Immediately following, and in connection with, the Merger, the Issuer effected a 1-for-2 reverse stock split of the outstanding shares of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.
These shares are held by The Sherman 2018 Irrevocable Trust for which the Reporting Person serves as trustee.
Received in exchange for 380,500 common units of Tectonic Holdings in connection with the Merger.
These shares are held by Sherman Tectonic FLP LP for which the Reporting Person serves as the Chief Executive Officer of the general partner.
Received in exchange for 19,500 common units of Tectonic Holdings in connection with the Merger.
Represents shares purchased through a directed share program in connection with the initial public offering of the Issuer's 9.00% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock (the "Series B preferred stock"), which closed on May 14, 2019. These shares of Series B preferred stock were purchased at the public offering price of $10.00 per share.