Filing Details
- Accession Number:
- 0000927089-11-000128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-27 14:07:14
- Reporting Period:
- 2011-05-26
- Filing Date:
- 2011-05-27
- Accepted Time:
- 2011-05-27 14:07:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410087 | Sound Financial Inc. | SNFL | Savings Institution, Federally Chartered (6035) | 260776123 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1410558 | Lee Laura Stewart | C/O Sound Financial Inc 2005 Fifth Avenue 2Nd Floor Seattle WA 98121 | President And Ceo | Yes | 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 | Disposition | 2011-05-26 | 3,800 | $6.70 | 200 | No | 4 | S | Indirect | By business partner |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By business partner |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 9,550 | Direct | |
| Common Stock | 14,934 | Indirect | By 401(k) |
| Common Stock | 964 | Indirect | By ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $7.35 | 2019-01-27 | 10,750 | 10,750 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $8.50 | 2011-01-27 | 10,750 | 10,750 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-01-27 | 10,750 | 10,750 | Direct |
| 2011-01-27 | 10,750 | 10,750 | Direct |
Footnotes
- The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- The options vest in 5 equal annual installments beginning on January 27, 2010.
Billionaire Hedge Funds
