CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 112 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-30: Reporting owner Beauregard Charles R; Form 4; Security Options to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-29: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2015-12-29: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2015-12-28: 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-12-30 | Beauregard Charles R Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,000 16,924 owned after | $7.59 exercise price | 2015-12-31 | |
| 2015-12-29 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 | 2015-12-29 | |
| 2015-12-29 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 | 2015-12-29 | |
| 2015-12-28 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-12-28 | |
| 2015-12-28 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 | 2015-12-28 | |
| 2015-12-28 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 | 2015-12-28 | |
| 2015-11-24 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 | 2015-11-24 | |
| 2015-11-20 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 | 2015-11-20 | |
| 2015-11-18 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 | 2015-11-18 | |
| 2015-11-17 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 | 2015-11-17 | |
| 2015-11-16 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,986 46,095 owned after | $7.59 exercise price | 2015-11-17 | |
| 2015-11-13 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,014 54,081 owned after | $7.59 exercise price | 2015-11-13 | |
| 2015-11-12 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 | 2015-11-12 | |
| 2015-11-09 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 | 2015-11-09 | |
| 2015-11-05 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 | 2015-11-05 | |
| 2015-11-02 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 | 2015-11-02 | |
| 2015-11-02 holding as of filing | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 56,095 owned after | $7.59 exercise price | 2015-11-02 | |
| 2015-11-02 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 | 2015-11-02 | |
| 2015-10-28 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 | 2015-10-28 | |
| 2015-10-28 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 | 2015-10-28 | |
| 2015-10-28 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-10-28 | |
| 2015-10-27 | 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 | −10,000 0 owned after | $22.00 | 2015-10-28 | |
| 2015-10-27 | 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 | −5,000 0 owned after | $22.00 | 2015-10-28 | |
| 2015-10-27 | Williams Anne A Officer (EVP, CCO & COO) | 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 | $22.00 | 2015-10-28 | |
| 2015-10-22 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 0 owned after | $12.20 exercise price | 2015-10-22 | |
| 2015-10-22 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 | 2015-10-22 | |
| 2015-10-22 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 | 2015-10-22 | |
| 2015-10-22 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 | 2015-10-22 | |
| 2015-10-16 | 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 | −2,633 49,768 owned after | $7.59 exercise price | 2015-11-12 | |
| 2015-10-16 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,031 56,095 owned after | $7.59 exercise price | 2015-10-19 | |
| 2015-10-16 | 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 | −2,633 49,768 owned after | $7.59 exercise price | 2015-10-19 | |
| 2015-10-15 | 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 | −6,749 52,401 owned after | $7.59 exercise price | 2015-11-12 | |
| 2015-10-15 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,638 60,126 owned after | $7.59 exercise price | 2015-10-19 | |
| 2015-10-15 | 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 | −6,749 52,401 owned after | $7.59 exercise price | 2015-10-19 | |
| 2015-10-14 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −550 65,764 owned after | $7.59 exercise price | 2015-10-15 | |
| 2015-10-14 | 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 | −661 59,150 owned after | $7.59 exercise price | 2015-10-15 | |
| 2015-10-13 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,309 66,314 owned after | $7.59 exercise price | 2015-10-15 | |
| 2015-10-13 | 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 | −2,768 59,811 owned after | $7.59 exercise price | 2015-10-15 | |
| 2015-10-09 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −649 68,623 owned after | $7.59 exercise price | 2015-10-13 | |
| 2015-10-08 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,924 69,272 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-08 | 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 | −7,070 63,318 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-07 | 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 | −739 62,579 owned after | $7.59 exercise price | 2015-10-13 | |
| 2015-10-07 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,357 75,196 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-07 | 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 | −5,190 70,388 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-06 | Holman David C Director | 4/A | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,456 79,553 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-06 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,201 84,416 owned after | $7.59 exercise price | 2015-10-07 | |
| 2015-10-06 | 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 | −9,979 75,578 owned after | $7.59 exercise price | 2015-10-07 | |
| 2015-10-05 | Holman David C Director | 4/A | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,178 88,009 owned after | $7.59 exercise price | 2015-10-09 | |
| 2015-10-05 | Holman David C Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,570 89,617 owned after | $7.59 exercise price | 2015-10-07 | |
| 2015-10-05 | 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 | −4,930 85,557 owned after | $7.59 exercise price | 2015-10-07 | |
| 2015-09-15 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 | 2015-09-15 | |
| 2015-09-14 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2015-09-14 | |
| 2015-09-14 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-09-14 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 0 owned after | $12.20 exercise price | 2015-09-14 | |
| 2015-09-14 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 | 2015-09-14 | |
| 2015-09-14 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 | 2015-09-14 | |
| 2015-09-14 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 | 2015-09-14 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Options to Purchase Common Stock Derivative · Direct | Holding | 0 owned after | $12.20 exercise price | 2015-09-14 | |
| 2015-09-14 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 | 2015-09-14 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Options to Purchase Common Stock Derivative · Direct | Holding | 60,000 owned after | $17.50 exercise price | 2015-09-14 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Options to Purchase Common Stock Derivative · Direct | Holding | 10,000 owned after | $22.00 exercise price | 2015-09-14 | |
| 2015-08-26 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 0 owned after | $12.20 exercise price | 2015-08-26 | |
| 2015-08-26 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 | 2015-08-26 | |
| 2015-08-26 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 | 2015-08-26 | |
| 2015-08-26 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 | 2015-08-26 | |
| 2015-08-24 | Schoenbaum Karen A Officer (EVP & CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −900 0 owned after | $12.52 exercise price | 2016-02-08 | |
| 2015-08-24 | Schoenbaum Karen A Officer (EVP & CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −900 0 owned after | $12.52 exercise price | 2015-08-24 | |
| 2015-08-20 | Schoenbaum Karen A Officer (EVP & CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −900 900 owned after | $12.52 exercise price | 2015-08-20 | |
| 2015-08-17 | 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 | −1,700 90,487 owned after | $7.59 exercise price | 2015-08-17 | |
| 2015-08-17 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 | 2015-08-17 | |
| 2015-08-17 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2015-08-17 | |
| 2015-08-17 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-08-17 | |
| 2015-08-17 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 0 owned after | $12.20 exercise price | 2015-08-17 | |
| 2015-08-17 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 | 2015-08-17 | |
| 2015-08-17 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 | 2015-08-17 | |
| 2015-08-17 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 | 2015-08-17 | |
| 2015-08-06 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 | 2015-08-06 | |
| 2015-08-06 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 | 2015-08-06 | |
| 2015-08-06 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 | 2015-08-06 | |
| 2015-08-04 | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,000 0 owned after | $22.32 | 2015-08-06 | |
| 2015-07-23 | Schoenbaum Karen A Officer (EVP & CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 1,800 owned after | $12.52 exercise price | 2015-07-24 | |
| 2015-06-03 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 | 2015-06-03 | |
| 2015-06-03 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 | 2015-06-03 | |
| 2015-06-03 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 | 2015-06-03 | |
| 2015-06-03 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 | 2015-06-03 | |
| 2015-04-30 | Schoenbaum Karen A Officer (EVP & CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 3,500 owned after | $12.52 exercise price | 2015-05-01 | |
| 2015-04-29 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2015-04-29 | |
| 2015-04-29 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-04-29 | |
| 2015-04-28 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 | 2015-04-28 | |
| 2015-04-28 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 | 2015-04-28 | |
| 2015-04-28 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 | 2015-04-28 | |
| 2015-04-28 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 | 2015-04-28 | |
| 2015-04-28 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 | 2015-04-28 | |
| 2015-03-23 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 | 2015-03-23 | |
| 2015-03-23 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 | 2015-03-23 | |
| 2015-03-23 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 | 2015-03-23 | |
| 2015-03-23 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 | 2015-03-23 | |
| 2015-03-20 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 | 2015-03-20 | |
| 2015-03-20 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,000 owned after | $22.00 exercise price | 2015-03-20 | |
| 2015-03-20 holding as of filing | Williams Anne A Officer (EVP, CCO & COO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 8,500 owned after | $12.20 exercise price | 2015-03-20 |