Tectonic Financial, Inc. Insider Trading Activity

Tectonic Financial director Steven B. Clapp reported stock transactions on January 5, 2026.

Accepted by SEC EDGAR 01/07/2026 - 08:15 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Tectonic Financial director Steven B. Clapp reported stock transactions on January 5, 2026. He disposed of 170,480 shares of common stock at $23.78 per share in a sale linked to the issuer’s spin-off of Tectonic Advisors, LLC, receiving shares of Tectonic Advisors in exchange. He also sold 2,000 shares of common stock at $5.70 per share, reflecting the exercise price of options he had granted to certain individuals in 2017.

After these transactions, Clapp directly owned 32,620 shares of Tectonic Financial common stock, with an additional 5,000 shares held indirectly through an individual retirement account and 5,000 shares held indirectly by his spouse.

Insider Trade Summary

Net Seller: 172,480 shares

Net Sell 2 txns

Insider Clapp Steven B

Role Director

Sold 172,480 shs ($4.07M)

Share of Position Sold 84.1%

Type	Security	Shares	Price	Value
Sale	Common Stock	170,480	$23.78	$4.05M
Sale	Common Stock	2,000	$5.70	$11K
Holding	Common Stock	--	--	--
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 32,620 shares (Direct); Common Stock — 5,000 shares (Indirect, By individual retirement account); Common Stock — 5,000 shares (Indirect, By spouse)

Holdings Before and After: Common Stock, 205,100 to 32,620 shares (Direct)

Other Insiders: 2 other insiders reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (2)

1. F1. On January 5, 2026, in connection with the Issuer's spin-off of Tectonic Advisors, LLC, the Reporting Person disposed of 170,840 shares of the Issuer in exchange for 170,840 shares of Tectonic Advisors, LLC, valued at $23.78 per share.
2. F2. On or about May 15, 2017, Mr. Clapp granted options to certain individuals to purchase from Mr. Clapp up to 2,000 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.

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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

X

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^*

Clapp Steven B

(Last) (First) (Middle)

16200 DALLAS PARKWAY, SUITE 190

(Street)

DALLAS TX 75248

(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		10% Owner
	Officer (give title below)		Other (specify below)

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		170,480	D	$23.78	34,620(1)	D
Common Stock	01/05/2026		S		2,000	D	$5.7(2)	32,620	D
Common Stock								5,000	I	By individual retirement account
Common Stock								5,000	I	By spouse

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 January 5, 2026, in connection with the Issuer's spin-off of Tectonic Advisors, LLC, the Reporting Person disposed of 170,840 shares of the Issuer in exchange for 170,840 shares of Tectonic Advisors, LLC, valued at $23.78 per share.

2. On or about May 15, 2017, Mr. Clapp granted options to certain individuals to purchase from Mr. Clapp up to 2,000 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.

	/s/ Michelle Kay Baird as Attorney-In-Fact for Steven B. Clapp	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.
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