CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 75 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-05: Reporting owner DENNEN ROBERT J; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2013-11-05: Reporting owner Wolman Anita; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2013-11-05: Reporting owner Williams Anne A; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2013-11-05: Reporting owner Williams Anne A; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-05 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-05 | |
| 2013-11-05 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-05 | |
| 2013-11-05 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-05 | |
| 2013-11-05 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2013-11-05 | |
| 2013-11-05 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-05 | |
| 2013-11-05 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2013-11-05 | |
| 2013-11-05 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 | 2013-11-05 | |
| 2013-11-05 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 | 2013-11-05 | |
| 2013-11-05 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 | 2013-11-05 | |
| 2013-11-05 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 | 2013-11-05 | |
| 2013-11-04 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 | 2013-11-04 | |
| 2013-11-04 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 | 2013-11-04 | |
| 2013-11-04 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 | 2013-11-04 | |
| 2013-11-04 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 | 2013-11-04 | |
| 2013-11-04 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-04 | |
| 2013-11-04 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2013-11-04 | |
| 2013-11-04 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-04 | |
| 2013-11-04 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $7.80 exercise price | 2013-11-04 | |
| 2013-11-04 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-11-04 | |
| 2013-11-04 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 7,000 owned after | $7.80 exercise price | 2013-11-04 | |
| 2013-11-01 | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,179 21,063 owned after | $10.00 exercise price | 2013-11-05 | |
| 2013-11-01 | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $7.80 exercise price | 2013-11-05 | |
| 2013-11-01 | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,744 20,000 owned after | $10.00 exercise price | 2013-11-05 | |
| 2013-11-01 | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 0 owned after | $7.80 exercise price | 2013-11-05 | |
| 2013-11-01 | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60,261 0 owned after | $10.00 exercise price | 2013-11-05 | |
| 2013-11-01 | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60,261 0 owned after | $10.00 exercise price | 2013-11-05 | |
| 2013-11-01 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −103,633 88,344 owned after | $10.00 exercise price | 2013-11-05 | |
| 2013-10-31 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,787 191,977 owned after | $10.00 exercise price | 2013-11-04 | |
| 2013-10-31 | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,239 60,261 owned after | $10.00 exercise price | 2013-11-04 | |
| 2013-10-31 | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −821 38,242 owned after | $10.00 exercise price | 2013-11-04 | |
| 2013-10-31 | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −756 51,744 owned after | $10.00 exercise price | 2013-11-04 | |
| 2013-10-22 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 195,764 owned after | $10.00 exercise price | 2013-10-22 | |
| 2013-10-22 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 | 2013-10-22 | |
| 2013-10-22 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 | 2013-10-22 | |
| 2013-10-22 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 | 2013-10-22 | |
| 2013-10-22 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 | 2013-10-22 | |
| 2013-09-13 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 62,500 owned after | $10.00 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 52,500 owned after | $10.00 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 7,000 owned after | $7.80 exercise price | 2013-09-13 | |
| 2013-09-13 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 | 2013-09-13 | |
| 2013-09-13 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | DENNEN ROBERT J Officer (SVP, Chief Accounting Officer) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $7.80 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stocks Derivative · Direct | Holding | 12,000 owned after | $12.52 exercise price | 2013-09-13 | |
| 2013-09-13 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 195,764 owned after | $10.00 exercise price | 2013-09-13 | |
| 2013-09-13 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 | 2013-09-13 | |
| 2013-09-13 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 | 2013-09-13 | |
| 2013-09-13 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 | 2013-09-13 | |
| 2013-09-13 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 | 2013-09-13 | |
| 2013-08-30 | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,786 0 owned after | $7.80 exercise price | 2013-08-30 | |
| 2013-08-30 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 62,500 owned after | $10.00 exercise price | 2013-08-30 | |
| 2013-08-30 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2013-08-30 | |
| 2013-08-30 holding as of filing | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2013-08-30 | |
| 2013-08-29 | Williams Anne A Director, Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,214 11,786 owned after | $7.80 exercise price | 2013-08-30 | |
| 2013-08-29 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 | 2013-08-29 | |
| 2013-08-29 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 | 2013-08-29 | |
| 2013-08-29 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 | 2013-08-29 | |
| 2013-08-29 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 | 2013-08-29 | |
| 2013-08-27 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,771 195,764 owned after | $10.00 exercise price | 2013-08-29 | |
| 2013-08-27 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 | 2013-08-27 | |
| 2013-08-27 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 | 2013-08-27 | |
| 2013-08-27 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 | 2013-08-27 | |
| 2013-08-27 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 | 2013-08-27 | |
| 2013-08-26 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −64 197,535 owned after | $10.00 exercise price | 2013-08-27 | |
| 2013-08-23 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −59 197,599 owned after | $10.00 exercise price | 2013-08-27 | |
| 2013-08-22 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 | 2013-08-22 | |
| 2013-08-22 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 | 2013-08-22 | |
| 2013-08-22 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 | 2013-08-22 | |
| 2013-08-22 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 | 2013-08-22 | |
| 2013-08-21 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,116 197,658 owned after | $10.00 exercise price | 2013-08-22 | |
| 2013-08-20 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,108 199,774 owned after | $10.00 exercise price | 2013-08-20 | |
| 2013-08-19 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,170 206,882 owned after | $10.00 exercise price | 2013-08-20 | |
| 2013-08-16 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −698 218,052 owned after | $10.00 exercise price | 2013-08-19 |