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.
- 2015-03-20: Reporting owner Schoenbaum Karen A; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2015-03-06: Reporting owner Wolman Anita; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2015-03-05: Reporting owner Schoenbaum Karen A; Form 4; Security Options to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-03-05: Reporting owner Wolman Anita; Form 4; Security Options to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-03-20 holding as of filing | Schoenbaum Karen A Officer (CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 5,200 owned after | $12.52 exercise price | 2015-03-20 | |
| 2015-03-06 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 | 2015-03-06 | |
| 2015-03-05 | 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 5,200 owned after | $12.52 exercise price | 2015-03-09 | |
| 2015-03-05 | 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 | −20,000 0 owned after | $10.00 | 2015-03-06 | |
| 2015-03-05 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 | 2015-03-05 | |
| 2015-03-05 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 | 2015-03-05 | |
| 2015-03-05 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 | 2015-03-05 | |
| 2015-03-05 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 | 2015-03-05 | |
| 2015-01-07 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 | 2015-01-07 | |
| 2015-01-07 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 | 2015-01-07 | |
| 2015-01-07 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 | 2015-01-07 | |
| 2015-01-07 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 | 2015-01-07 |