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  4. [Form 4/A] Sound Financial Bancorp, Inc. Amended Insider Trading Activity

SFBC CEO Laura Lee Stewart updates holdings in Form 4/A filing

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4/A

Rhea-AI Filing Summary

Sound Financial Bancorp, Inc. President and CEO Laura Lee Stewart filed an amended insider trading report. The filing records a previously reported gift of 3,000 shares of common stock on 08/16/2024, coded as a charitable gift, leaving her with 60,402 shares of common stock held directly.

The amendment also adds indirect holdings that had not been reported before, including 14,409 shares held through the company ESOP and 18,906 shares allocated to her account under the company 401(k) plan. The report further lists several stock options to buy common stock with exercise prices between $32.46 and $40.13, with expirations from 2029 through 2034, some fully exercisable and others vesting in three equal annual installments.

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Insider Stewart Laura Lee
Role President and CEO
Type Security Shares Price Value
Gift Common Stock 3,000 $0.00 --
holding Stock Option (Right to Buy) -- -- --
holding Stock Option (Right to Buy) -- -- --
holding Stock Option (Right to Buy) -- -- --
holding Stock Option (Right to Buy) -- -- --
holding Stock Option (Right to Buy) -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 60,402 shares (Direct); Stock Option (Right to Buy) — 250 shares (Direct); Common Stock — 14,409 shares (Indirect, By ESOP)
Footnotes (1)
  1. Options are fully exercisable. Options vest in three equal annual installments beginning on January 27, 2023. Options vest in three equal annual installments beginning on January 26, 2025. Reflects a gift to a donor advised fund. This amendment is being filed to reflect shares of common stock previously allocated to the reporting persons accounts under the Company's 401(k) Plan that were previously unreported. The allocation of such shares occurred automatically and did not involve a reportable transaction by the reporting person.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Stewart Laura Lee
(Last) (First) (Middle)
C/O SOUND FINANCIAL BANCORP, INC.
2400 3RD AVENUE, SUITE 150
(Street)
SEATTLE WA 98121
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Sound Financial Bancorp, Inc. [ SFBC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
08/16/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
08/19/2024 		6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 14,409 I By ESOP
Common Stock 18,906(5) I By 401(k)
Common Stock 08/16/2024 G(4) 3,000 D $0 60,402 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $33.5 (1) 01/25/2029 Common Stock 250 250 D
Stock Option (Right to Buy) $36.26 (1) 01/31/2030 Common Stock 120 120 D
Stock Option (Right to Buy) $32.46 (1) 01/27/2031 Common Stock 300 300 D
Stock Option (Right to Buy) $40.13 (2) 01/27/2033 Common Stock 1,800 1,800 D
Stock Option (Right to Buy) $39.89 (3) 01/26/2034 Common Stock 259 259 D
Explanation of Responses:
1. Options are fully exercisable.
2. Options vest in three equal annual installments beginning on January 27, 2023.
3. Options vest in three equal annual installments beginning on January 26, 2025.
4. Reflects a gift to a donor advised fund.
5. This amendment is being filed to reflect shares of common stock previously allocated to the reporting persons accounts under the Company's 401(k) Plan that were previously unreported. The allocation of such shares occurred automatically and did not involve a reportable transaction by the reporting person.
/s/ Laura Lee Stewart 01/23/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SFBC CEO Laura Lee Stewart report?

The report shows Laura Lee Stewart made a gift of 3,000 shares of Sound Financial Bancorp common stock on 08/16/2024, coded as a charitable gift at $0 per share.

How many SFBC shares does the CEO hold directly after this Form 4/A?

After the reported gift, Laura Lee Stewart directly owns 60,402 shares of Sound Financial Bancorp common stock.

What indirect holdings in SFBC stock does the Form 4/A disclose?

The filing discloses 14,409 shares held indirectly through the company ESOP and 18,906 shares allocated to the CEO's account under the company's 401(k) plan.

Why was this SFBC Form 4/A filed as an amendment?

The amendment was filed to reflect previously unreported common shares automatically allocated to the reporting person's 401(k) plan account; these allocations did not involve a separate reportable transaction.

What stock options in SFBC does the CEO hold according to this filing?

The filing lists several stock options to buy Sound Financial Bancorp common stock, including grants with exercise prices from $32.46 to $40.13 and expiration dates between 01/25/2029 and 01/26/2034.

How do the SFBC stock options vest for the CEO?

Some options are noted as fully exercisable, while others vest in three equal annual installments beginning on January 27, 2023 or January 26, 2025, as specified in the notes.