SEC Form 4 · accession 0001028734-17-000051
COBIZ FINANCIAL INC · COBZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Noel N Rothman
Director
Period of report
Mar 16, 2017
Accepted (ET)
Mar 16, 2017 · 7:44 pm EDT
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 | Mar 16, 2017 | M | 1,000 | $7.22 | A | 1,268,260 | D | |
| Common Stock | Mar 16, 2017 | M | 1,000 | $7.54 | A | 1,269,260 | D | |
| Common Stock | holding | — | — | — | 325 | I | by Managed Account | |
| Common Stock | holding | — | — | — | 148,218 | I | by Partnership | |
| Common Stock | holding | — | — | — | 56,881 | I | by Spouse | |
| Common Stock | holding | — | — | — | 177,941 | I | by Trust |
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) | $7.22 | Mar 16, 2017 | M | 1,000 | D | May 18, 2011 | May 18, 2018 | Common Stock | 1,000 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $7.54 | Mar 16, 2017 | M | 1,000 | D | May 19, 2010 | May 19, 2017 | Common Stock | 1,000 | 0 | D |