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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 8.41 | 08/22/2012 | J(2) | 5,682 | (3) | 01/27/2019 | Common Stock | 5,682 | $ 0 | 5,682 | D | ||||
Stock Option (Right to Buy) | $ 9.72 | 08/22/2012 | J(2) | 5,682 | (3) | 01/27/2019 | Common Stock | 5,682 | $ 0 | 11,364 | D | ||||
Stock Option (Right to Buy) | $ 8.49 | 08/22/2012 | J(2) | 4,473 | (4) | 02/28/2022 | Common Stock | 4,473 | $ 0 | 15,837 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Moran Matthew F 2005 FIFTH AVE, SUITE 200 SEATTLE, WA 98121 |
EVP / Chief Credit Officer |
/s/ Matthew P. Deines | 02/26/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
(2) | 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. |
(3) | Options vest in five equal installments beginning on January 27, 2010. |
(4) | Options vest in five equal installments beginning on February 28, 2013. |
Remarks: This Form 4/A is filed to correct an error in the Form 4 originally filed on August 24, 2012 (the "Original Form 4") relating to the transaction code for the 4,900 common stock acquired indirectly by the reporting person's 401(k). As herein corrected, the Form 4/A amends and restates the Original Form 4 as the original filing date and does not purport to reflect any changes to the reporting person's beneficial ownership subsequent to the filing of the Original Form 4. |