1ST CENTURY BANCSHARES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-16: Reporting owner Digange Joseph J; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-03: Reporting owner DiNapoli Jason Philip; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2013-11-21: Reporting owner ROTHENBERG ALAN I; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2013-11-21: Reporting owner DiNapoli Jason Philip; Form 4; Security Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 | Digange Joseph J Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 0 owned after | $5.00 exercise price | 2014-01-30 | |
| 2013-12-03 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 7,500 owned after | $8.75 exercise price | 2013-12-03 | |
| 2013-11-21 holding as of filing | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 307,573 owned after | $8.01 exercise price | 2013-11-21 | |
| 2013-11-21 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 7,500 owned after | $8.75 exercise price | 2013-11-21 | |
| 2013-11-20 | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −160,000 210,000 owned after | $5.00 exercise price | 2013-11-21 | |
| 2013-11-20 | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $5.00 exercise price | 2013-11-21 | |
| 2013-09-09 | George Eric M Director | 4 | Founder Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,000 0 owned after | $5.00 exercise price | 2013-09-09 | |
| 2013-09-05 holding as of filing | Pressman Barry D. Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 50,000 owned after | $5.00 exercise price | 2013-09-05 | |
| 2013-05-28 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $5.00 exercise price | 2013-05-28 | |
| 2013-05-28 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 7,500 owned after | $8.75 exercise price | 2013-05-28 | |
| 2013-05-01 holding as of filing | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 370,000 owned after | $5.00 exercise price | 2013-05-01 | |
| 2013-05-01 holding as of filing | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 307,573 owned after | $8.75 exercise price | 2013-05-01 | |
| 2013-05-01 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $5.00 exercise price | 2013-05-01 | |
| 2013-05-01 holding as of filing | DiNapoli Jason Philip Director, Officer (President and COO) | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 7,500 owned after | $8.75 exercise price | 2013-05-01 |