UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________
FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) October 30, 2020
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| SOUND FINANCIAL BANCORP, INC. |
| (Exact name of registrant as specified in its charter) |
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| Maryland | | 001-35633 | | 45-5188530 |
| (State or other jurisdiction of incorporation) | | (Commission File No.) | | (IRS Employer Identification No.) |
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| 2400 3rd Avenue, Suite 150, Seattle, Washington | | 98121 |
| (Address of principal executive offices) | | (Zip Code) |
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Registrant's telephone number, including area code: (206) 448-0884 |
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| (Former name or former address, if changed since last report) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
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| Common Stock, $0.01 par value | SFBC | The NASDAQ Stock Market LLC |
Indicated by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act
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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
Effective November 2, 2020, in connection with an internal reorganization of management responsibilities, the Boards of Directors of Sound Financial Bancorp, Inc. (the “Company”) and Sound Community Bank (the “Bank”), its wholly owned operating subsidiary, appointed Wes Ochs, Executive Vice President and Chief Strategy Officer of the Bank, as Executive Vice President and Chief Strategy Officer of the Company as well. As part of this appointment, the Company transferred the economic forecasting, strategic planning and asset liability management functions of the Company and the Bank from Daphne Kelley, Executive Vice President and Chief Financial Officer of the Company and the Bank to Mr. Ochs. Ms. Kelley will continue to act as the Company’s principal financial and accounting officer.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly authorized.
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| | SOUND FINANCIAL BANCORP, INC. | |
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| Date: October 30, 2020 | By: | /s/ Laura Lee Stewart | |
| | | Laura Lee Stewart | |
| | | President and CEO | |
