CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 92 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-22: Reporting owner Holman David C; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2014-12-22: Reporting owner Wolman Anita; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2014-12-22: Reporting owner Wolman Anita; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2014-12-22: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-22 holding as of filing | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 92,187 owned after | $7.59 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 20,000 owned after | $10.00 exercise price | 2014-12-22 | |
| 2014-12-22 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 | 2014-12-22 | |
| 2014-12-22 holding as of filing | Rainer David I Director, Officer (Chairman, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 10,000 owned after | $22.00 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Rainer David I Director, Officer (Chairman, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 60,000 owned after | $17.50 exercise price | 2014-12-22 | |
| 2014-12-22 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 | 2014-12-22 | |
| 2014-12-22 holding as of filing | Rainer David I Director, Officer (Chairman, CEO) | 4 | Options to purchase common stock Derivative · Direct | Holding | 10,000 owned after | $12.20 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Williams Anne A Officer (EVP and CCO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 6,900 owned after | $12.52 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Leitzinger Jeffrey J Director | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 26,339 owned after | $7.59 exercise price | 2014-12-22 | |
| 2014-12-22 holding as of filing | Beauregard Charles R Director | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 32,924 owned after | $7.59 exercise price | 2014-12-22 | |
| 2014-12-14 | 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 | −11,272 77,072 owned after | $10.00 exercise price | 2014-02-18 | |
| 2014-12-09 | Horton K Brian Director, Officer (President) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,509 92,187 owned after | $7.59 exercise price | 2015-04-06 | |
| 2014-12-04 | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 6,900 owned after | $12.52 exercise price | 2014-12-08 | |
| 2014-12-04 holding as of filing | Holman David C Director | 3 | Options to Purchase Common Stock Derivative · Direct | Holding | $7.59 exercise price | 2014-12-04 | ||
| 2014-12-03 holding as of filing | Beauregard Charles R Director | 3 | Options to Purchase Common Stock Derivative · Direct | Holding | $7.59 exercise price | 2014-12-03 | ||
| 2014-12-03 holding as of filing | Leitzinger Jeffrey J Director | 3 | Options to Purchase Common Stock Derivative · Direct | Holding | $7.59 exercise price | 2014-12-03 | ||
| 2014-12-02 holding as of filing | Horton K Brian Director, Officer (President) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 131,696 owned after | $7.59 exercise price | 2014-12-02 | |
| 2014-12-01 holding as of filing | Horton K Brian Director, Officer (President) | 3 | Options to Purchase Common Stock Derivative · Direct | Holding | $7.59 exercise price | 2014-12-01 | ||
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-15 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 20,000 owned after | $10.00 exercise price | 2014-09-15 | |
| 2014-09-15 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 | 2014-09-15 | |
| 2014-09-05 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 | 2014-09-05 | |
| 2014-09-05 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 | 2014-09-05 | |
| 2014-09-05 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 | 2014-09-05 | |
| 2014-09-05 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 | 2014-09-05 | |
| 2014-08-15 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 | 2014-08-15 | |
| 2014-08-15 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 | 2014-08-15 | |
| 2014-08-15 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 20,000 owned after | $10.00 exercise price | 2014-08-15 | |
| 2014-08-15 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 | 2014-08-15 | |
| 2014-08-04 | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stocks Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 8,600 owned after | $12.52 exercise price | 2014-08-05 | |
| 2014-06-10 | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stocks Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 10,300 owned after | $12.52 exercise price | 2014-06-11 | |
| 2014-03-05 | 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 | −16,046 0 owned after | $10.00 exercise price | 2014-03-05 | |
| 2014-03-05 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 | 2014-03-05 | |
| 2014-03-05 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 | 2014-03-05 | |
| 2014-03-05 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 | 2014-03-05 | |
| 2014-03-05 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 | 2014-03-05 | |
| 2014-03-04 | 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 | −12,000 16,046 owned after | $10.00 exercise price | 2014-03-05 | |
| 2014-03-03 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 | 2014-03-03 | |
| 2014-03-03 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 | 2014-03-03 | |
| 2014-03-03 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 | 2014-03-03 | |
| 2014-03-03 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 | 2014-03-03 | |
| 2014-02-28 | 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 | −3,736 28,046 owned after | $10.00 exercise price | 2014-03-03 | |
| 2014-02-27 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 | 2014-02-27 | |
| 2014-02-27 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 | 2014-02-27 | |
| 2014-02-27 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 | 2014-02-27 | |
| 2014-02-27 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 | 2014-02-27 | |
| 2014-02-26 | 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 | −291 31,782 owned after | $10.00 exercise price | 2014-02-27 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-26 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 | 2014-02-26 | |
| 2014-02-25 | 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 | −2,900 32,073 owned after | $10.00 exercise price | 2014-02-26 | |
| 2014-02-21 | 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 | −40,000 34,973 owned after | $10.00 exercise price | 2014-02-21 | |
| 2014-02-21 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 | 2014-02-21 | |
| 2014-02-21 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 | 2014-02-21 | |
| 2014-02-21 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 | 2014-02-21 | |
| 2014-02-21 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 | 2014-02-21 | |
| 2014-02-20 | 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 | −199 74,973 owned after | $10.00 exercise price | 2014-02-20 | |
| 2014-02-20 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 | 2014-02-20 | |
| 2014-02-20 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 | 2014-02-20 | |
| 2014-02-20 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 | 2014-02-20 | |
| 2014-02-20 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 | 2014-02-20 | |
| 2014-02-19 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 | 2014-02-19 | |
| 2014-02-19 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 | 2014-02-19 | |
| 2014-02-19 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 | 2014-02-19 | |
| 2014-02-19 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 | 2014-02-19 | |
| 2014-02-18 | 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 | −1,900 75,172 owned after | $10.00 exercise price | 2014-02-19 | |
| 2014-02-18 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 | 2014-02-18 | |
| 2014-02-18 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 | 2014-02-18 | |
| 2014-02-18 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 | 2014-02-18 | |
| 2014-02-18 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 | 2014-02-18 | |
| 2014-02-05 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 88,344 owned after | $10.00 exercise price | 2014-02-05 | |
| 2014-02-05 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 | 2014-02-05 | |
| 2014-02-05 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 | 2014-02-05 | |
| 2014-02-05 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 | 2014-02-05 | |
| 2014-02-05 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 | 2014-02-05 | |
| 2014-01-13 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 88,344 owned after | $10.00 exercise price | 2014-01-13 | |
| 2014-01-13 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 | 2014-01-13 | |
| 2014-01-13 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 | 2014-01-13 | |
| 2014-01-13 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 | 2014-01-13 | |
| 2014-01-13 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 | 2014-01-13 | |
| 2014-01-10 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 | 2014-01-10 | |
| 2014-01-10 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 | 2014-01-10 | |
| 2014-01-10 holding as of filing | Wolman Anita Officer (EVP and General Counsel) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 20,000 owned after | $10.00 exercise price | 2014-01-10 | |
| 2014-01-10 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 | 2014-01-10 |