CU Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-27: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2016-12-27: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2016-12-23: Reporting owner Rainer David I; Form 4; Security Options to Purchase Common Stock; Transaction Holding.
- 2016-12-23: 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-27 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 | 2016-12-27 | |
| 2016-12-27 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 4,000 owned after | $17.50 exercise price | 2016-12-27 | |
| 2016-12-23 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 | 2016-12-23 | |
| 2016-12-23 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 4,000 owned after | $17.50 exercise price | 2016-12-23 | |
| 2016-12-08 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 | 2016-12-08 | |
| 2016-12-08 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Options to Purchase Common Stock Derivative · Direct | Holding | 4,000 owned after | $17.50 exercise price | 2016-12-08 | |
| 2016-12-05 | 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 | −7,000 4,000 owned after | $17.50 exercise price | 2016-12-05 | |
| 2016-12-05 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 | 2016-12-05 | |
| 2016-12-02 | 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 | −11,000 11,000 owned after | $17.50 exercise price | 2016-12-05 | |
| 2016-12-01 | 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 | −38,000 22,000 owned after | $17.50 exercise price | 2016-12-05 | |
| 2016-12-01 | 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 | −8,500 0 owned after | $12.20 exercise price | 2016-12-02 | |
| 2016-10-03 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 | 2016-10-03 | |
| 2016-10-03 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 | 2016-10-03 | |
| 2016-08-17 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 | 2016-08-17 | |
| 2016-08-17 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 | 2016-08-17 | |
| 2016-08-17 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 | 2016-08-17 | |
| 2016-08-12 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 | 2016-08-12 | |
| 2016-08-12 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 | 2016-08-12 | |
| 2016-06-16 | 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 | −16,924 0 owned after | $7.59 exercise price | 2016-06-17 | |
| 2016-06-16 | Leitzinger Jeffrey J Director | 4 | Options to Purchase Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,339 0 owned after | $7.59 exercise price | 2016-06-17 | |
| 2016-05-31 | 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 | −10,000 0 owned after | $7.59 exercise price | 2016-06-01 | |
| 2016-04-14 | 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 | −5,133 0 owned after | $7.59 exercise price | 2016-04-15 | |
| 2016-04-14 | 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 | −3,726 10,000 owned after | $7.59 exercise price | 2016-04-15 | |
| 2016-04-13 | 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 | −4,821 5,133 owned after | $7.59 exercise price | 2016-04-15 | |
| 2016-04-13 | 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 | −3,492 13,726 owned after | $7.59 exercise price | 2016-04-15 | |
| 2016-03-04 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 | 2016-03-04 | |
| 2016-03-04 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 | 2016-03-04 | |
| 2016-02-26 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 | 2016-02-26 | |
| 2016-02-26 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 | 2016-02-26 | |
| 2016-02-08 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 | 2016-02-08 | |
| 2016-02-08 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 | 2016-02-08 | |
| 2016-02-08 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 | 2016-02-08 | |
| 2016-01-06 | 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 | −28,268 9,954 owned after | $7.59 exercise price | 2016-02-08 | |
| 2016-01-06 | 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 | −28,268 9,954 owned after | $7.59 exercise price | 2016-01-06 | |
| 2016-01-06 | 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 | −20,687 17,218 owned after | $7.59 exercise price | 2016-01-06 | |
| 2016-01-05 | 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 | −9,660 38,222 owned after | $7.59 exercise price | 2016-01-06 | |
| 2016-01-05 | 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 | −6,846 37,905 owned after | $7.59 exercise price | 2016-01-06 | |
| 2016-01-04 | 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 | −1,886 47,882 owned after | $7.59 exercise price | 2016-01-06 | |
| 2016-01-04 | 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 | −1,344 44,751 owned after | $7.59 exercise price | 2016-01-06 |