CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-03: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-03-02: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-02-09: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2017-01-04: Reporting owner Rainer David I; Form 4/A; Security Options to Purchase Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-03-03 | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,389 0 owned after | $16.00 | 2017-03-03 | |
| 2017-03-02 | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,944 11,389 owned after | $16.00 | 2017-03-03 | |
| 2017-02-09 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 23,333 owned after | $16.00 exercise price | 2017-02-09 | |
| 2017-01-04 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Options to Purchase Common Stock Derivative · Direct | Holding | 23,333 owned after | $16.00 exercise price | 2017-01-04 |