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: 18 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-23: Reporting owner DiNapoli Jason Philip; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2014-12-18: Reporting owner DiNapoli Jason Philip; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2014-12-01: Reporting owner ROTHENBERG ALAN I; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2014-11-18: 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-23 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 | 2014-12-23 | |
| 2014-12-18 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 | 2014-12-18 | |
| 2014-12-01 holding as of filing | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 307,573 owned after | $8.01 exercise price | 2014-12-01 | |
| 2014-11-18 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 | 2014-11-18 | |
| 2014-05-16 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 | 2014-05-16 | |
| 2014-04-02 holding as of filing | ROTHENBERG ALAN I Director, Officer (CEO and Chairman of the Board), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 307,573 owned after | $8.01 exercise price | 2014-04-02 | |
| 2014-04-02 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 | 2014-04-02 | |
| 2014-03-20 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 | 2014-03-20 | |
| 2014-02-21 | Levy Alan D. Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $5.00 exercise price | 2014-02-21 | |
| 2014-02-19 | Brooks Dave Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,800 0 owned after | $5.00 exercise price | 2014-02-19 | |
| 2014-02-05 | Pressman Barry D. Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $5.00 exercise price | 2014-02-05 | |
| 2014-02-03 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 | 2014-02-03 | |
| 2014-02-03 holding as of filing | Levy Alan D. Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 25,000 owned after | $5.00 exercise price | 2014-02-03 | |
| 2014-02-03 holding as of filing | Brooks Dave Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 52,800 owned after | $5.00 exercise price | 2014-02-03 | |
| 2014-01-31 | WOLFF LEWIS Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,800 0 owned after | $5.00 exercise price | 2014-01-31 | |
| 2014-01-23 | Moore Robert Allen Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $5.00 exercise price | 2014-01-30 | |
| 2014-01-07 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 | 2014-01-07 | |
| 2014-01-06 | 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 | −210,000 0 owned after | $5.00 exercise price | 2014-01-07 |