SWEENEY JAMES E exercised options at SOUND FINANCIAL BANCORP, INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 2 exercises

SWEENEY JAMES E

Filed: 8/11/2021ACC: 0000927089-21-000199

InsiderSWEENEY JAMES ECIK 1410547

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IssuerSOUND FINANCIAL BANCORP, INC.CIK 1541119

Director

Since Jan 2019

0.00

Net shares

Net seller

$39.0K

Total acquired

Open market trades

0B · 0S

Total transactions

2.30K acquired · 2.30K disposed

Non-Derivative Transactions2

Common Stock

Direct

M · Option Exercise

+2.01K

Price / share

$16.80

Trade value

$33.73K

% of position

23.2%

8/9/2021

8.66K→10.67K

Common Stock

Direct

M · Option Exercise

+288.00

Price / share

$18.36

Trade value

$5.29K

% of position

2.7%

8/9/2021

10.67K→10.96K

Total

Net shares

+2.30K

Net value

$39.02K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	8/9/2021	M · Option Exercise	+2.01K	$16.80	$33.73K	23.2%	8.66K	10.67K
Common Stock Direct	8/9/2021	M · Option Exercise	+288.00	$18.36	$5.29K	2.7%	10.67K	10.96K
Total			+2.30K		$39.02K

Derivative Transactions2

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

2.01K shares

−2.01K

Strike price

16.80

Held after

4.02K

Exercisable

—

8/9/2021

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

288.00 shares

−288.00

Strike price

18.36

Held after

574.00

Exercisable

—

8/9/2021

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock2.01K shares	8/9/2021	M · Option Exercise	−2.01K	16.80	—	4.02K
Stock Option (Right to Buy) Direct	Common Stock288.00 shares	8/9/2021	M · Option Exercise	−288.00	18.36	—	574.00

Non-Derivative Holdings (Post-Transaction)1

Common Stock

Indirect

Shares owned8.74K

Total

8.74K indirect8.74K

Security Title	Shares Owned	Ownership Type
Common Stock	8.74K	Indirect
Total	8.74K	8.74K indirect

Derivative Holdings (Post-Transaction)3

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

250.00

Shares owned

250.00

Exercise price

33.5

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

300.00

Shares owned

300.00

Exercise price

32.46

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

120.00

Shares owned

120.00

Exercise price

36.26

Expiration

—

Exercise window

—

Total

Underlying

670.00

Owned

670.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	33.5	—	—	250.00	250.00
Stock Option (Right to Buy) Direct	Common Stock	32.46	—	—	300.00	300.00
Stock Option (Right to Buy) Direct	Common Stock	36.26	—	—	120.00	120.00
Total					670.00	670.00