CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-09-11: Reporting owner DENNEN ROBERT J; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2012-09-11: Reporting owner DENNEN ROBERT J; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2012-09-11: Reporting owner DENNEN ROBERT J; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2012-08-16: Reporting owner Wolman Anita; Form 4; Security Option to Purchase Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-09-11 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 39,063 owned after | $10.00 exercise price | 2012-09-11 | |
| 2012-09-11 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 44,063 owned after | $22.00 exercise price | 2012-09-11 | |
| 2012-09-11 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 49,063 owned after | $7.80 exercise price | 2012-09-11 | |
| 2012-08-16 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Option to Purchase Common Stock Derivative · Direct | Holding | 52,500 owned after | $10.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Option to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Option to Purchase Common Stock Derivative · Direct | Holding | 7,000 owned after | $7.80 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Schoenbaum Karen A Officer (CFO) | 4 | Common Stock Options Derivative · Direct | Holding | 12,000 owned after | $12.52 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Common Stock Options Derivative · Direct | Holding | 62,500 owned after | $10.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Common Stock Options Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Common Stock Options Derivative · Direct | Holding | 15,000 owned after | $7.80 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Common Stock Options Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 218,750 owned after | $10.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 10,000 owned after | $22.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 60,000 owned after | $17.50 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 23,333 owned after | $16.00 exercise price | 2012-08-16 | |
| 2012-08-16 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 10,000 owned after | $12.20 exercise price | 2012-08-16 |