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  4. [Form 4] Tectonic Financial, Inc. Insider Trading Activity

Tectonic Financial (TECTP) CEO entity sells 20K shares at $5.70 stock

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Tectonic Financial, Inc. insider Sherman A. Haag, who is a director, Chief Executive Officer and a 10% owner, reported an indirect sale of 20,000 shares of common stock on January 5, 2026 at $5.70 per share. The sale price matches the exercise price of options he had granted in 2017 to certain individuals to buy up to 25,000 shares from him or an affiliate.

After this transaction, 1,719,000 shares are reported as held by The Sherman 2018 Irrevocable Trust, where Haag serves as trustee, 370,000 shares are held by Sherman Tectonic FLP LP, where he is Chief Executive Officer of the general partner, and 12,000 shares are held in an individual retirement account, all reported as indirect beneficial ownership.

Positive

  • None.

Negative

  • None.
Insider SHERMAN A HAAG
Role Chief Executive Officer
Sold 20,000 shs ($114K)
Type Security Shares Price Value
Sale Common Stock 20,000 $5.70 $114K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,719,000 shares (Indirect, See Footnote)
Footnotes (1)
  1. On or about May 15, 2017, Mr. Sherman granted options to certain individuals to purchase from Mr. Sherman or one of his affiliates up to 25,000 shares of common stock of the Issuer at an exercise price of $5.70. The sale price of the common stock reflects the exercise price of such options. Shares held by The Sherman 2018 Irrevocable Trust for which the Reporting Person serves as trustee. Shares held by Sherman Tectonic FLP LP for which the Reporting Person serves as the Chief Executive Officer of the general partner. Shares held by individual retirement account.
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*
SHERMAN A HAAG
(Last) (First) (Middle)
600 TRAVIS STREET, SUITE 5900
(Street)
HOUSTON TX 77002
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Tectonic Financial, Inc. [ TECTP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/05/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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 01/05/2026 S 20,000 D $5.7(1) 1,719,000 I See Footnote(2)
Common Stock 370,000 I See Footnote(3)
Common Stock 12,000 I See Footnote(4)
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
Explanation of Responses:
1. On or about May 15, 2017, Mr. Sherman granted options to certain individuals to purchase from Mr. Sherman or one of his affiliates up to 25,000 shares of common stock of the Issuer at an exercise price of $5.70. The sale price of the common stock reflects the exercise price of such options.
2. Shares held by The Sherman 2018 Irrevocable Trust for which the Reporting Person serves as trustee.
3. Shares held by Sherman Tectonic FLP LP for which the Reporting Person serves as the Chief Executive Officer of the general partner.
4. Shares held by individual retirement account.
/s/ Sherman A. Haag 01/07/2026
** 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 Tectonic Financial (TECTP) report in this Form 4?

The Form 4 reports that entities associated with Sherman A. Haag, a director, Chief Executive Officer and 10% owner of Tectonic Financial, Inc., sold 20,000 shares of common stock on January 5, 2026 at $5.70 per share.

How was the $5.70 sale price for TECTP shares determined?

The $5.70 sale price reflects the exercise price of options that Mr. Haag granted on or about May 15, 2017 to certain individuals to purchase up to 25,000 shares of Tectonic Financial common stock from him or one of his affiliates.

How many Tectonic Financial shares does Sherman A. Haag report owning after the sale?

Following the reported transaction, Haag reports indirect beneficial ownership of 1,719,000 shares held by The Sherman 2018 Irrevocable Trust, 370,000 shares held by Sherman Tectonic FLP LP, and 12,000 shares held in an individual retirement account.

Are the Tectonic Financial shares held directly by Sherman A. Haag?

No direct holdings are shown in the excerpt. The reported positions are indirect, held through The Sherman 2018 Irrevocable Trust, Sherman Tectonic FLP LP, and an individual retirement account, with Haag serving in roles such as trustee and Chief Executive Officer of the general partner.

What entities are involved in Sherman A. Haag’s indirect TECTP share ownership?

The filing states that shares are held by The Sherman 2018 Irrevocable Trust (Haag as trustee), Sherman Tectonic FLP LP (Haag as Chief Executive Officer of the general partner), and an individual retirement account.

What role does Sherman A. Haag have at Tectonic Financial, Inc.?

Sherman A. Haag is reported as a Director, Chief Executive Officer, and a 10% owner of Tectonic Financial, Inc.