SEC Form 4 · accession 0001028734-16-000307
COBIZ FINANCIAL INC · COBZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troy Dumlao
Officer — SVP & Chief Accounting Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 6:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001028734
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 100 | $8.69 | A | 17,787 | D | |
| Common Stock | Nov 10, 2016 | S | 100 | $14.49 | D | 17,687 | D | |
| Common Stock | Nov 11, 2016 | S | 500 | $15.00 | D | 17,187 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $8.69 | Nov 10, 2016 | M | 100 | D | May 15, 2013 | May 15, 2020 | Common Stock | 100 | 0 | D |