CU Bancorp Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows, 32 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-20: Reporting owner Rainer David I; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-03-03: Reporting owner Rainer David I; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2017-02-09: Reporting owner Rainer David I; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2017-01-04: Reporting owner Rainer David I; Form 4/A; Security Restricted Stock Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-10-20 | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | no price filed | 2017-10-23 | |
| 2017-03-03 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2017-03-03 | |
| 2017-02-09 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2017-02-09 | |
| 2017-01-04 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2017-01-04 | |
| 2016-12-27 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-12-27 | |
| 2016-12-23 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-12-23 | |
| 2016-12-08 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-12-08 | |
| 2016-12-05 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-12-05 | |
| 2016-10-03 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-10-03 | |
| 2016-08-17 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-08-17 | |
| 2016-08-12 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-08-12 | |
| 2016-03-04 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-03-04 | |
| 2016-02-26 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-02-26 | |
| 2016-02-08 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2016-02-08 | |
| 2015-12-29 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-12-29 | |
| 2015-12-28 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-12-28 | |
| 2015-10-28 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-10-28 | |
| 2015-10-22 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-10-22 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-09-14 | |
| 2015-09-14 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4/A | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-09-14 | |
| 2015-08-26 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-08-26 | |
| 2015-08-17 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-08-17 | |
| 2015-08-06 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-08-06 | |
| 2015-06-03 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-06-03 | |
| 2015-04-28 holding as of filing | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | Holding | 40,000 owned after | no price filed | 2015-04-28 | |
| 2015-03-19 | Rainer David I Director, Officer (Chairman & CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.00 | 2015-03-23 | |
| 2013-09-12 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Common Stock - Restricted Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 78,351 owned after | $16.86 | 2013-09-13 | |
| 2012-09-25 holding as of filing | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Common Stock- Restricted Non-derivative · Direct · (m) | Holding | 72,500 owned after | no price filed | 2012-09-25 | |
| 2012-08-14 | Wolman Anita Officer (EVP and General Counsel) | 4 | Common Stock-Restricted Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 15,150 owned after | $11.75 | 2012-08-16 | |
| 2012-08-14 | Schoenbaum Karen A Officer (CFO) | 4 | Common Stock-Restricted Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 12,650 owned after | $11.75 | 2012-08-16 | |
| 2012-08-14 | Williams Anne A Officer (EVP and CCO) | 4 | Common Stock-Restricted Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 44,550 owned after | $11.75 | 2012-08-16 | |
| 2012-08-14 | Rainer David I Director, Officer (Chairman, President, CEO) | 4 | Common Stock-Restricted Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 72,500 owned after | $11.75 | 2012-08-16 |