SEC Form 4 · accession 0001028734-18-000111
COBIZ FINANCIAL INC · COBZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeremy Lindner
Officer — Chief Credit Officer
Period of report
Jul 20, 2018
Accepted (ET)
Aug 23, 2018 · 7:17 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 StockF1 | Mar 31, 2018 | J | 106 | $17.64 | A | 16,527 | D | |
| Common StockF1 | Jun 30, 2018 | J | 103 | $19.33 | A | 16,630 | D | |
| Common StockF2 | Jul 20, 2018 | D | 648 | $22.10 | D | 15,982 | D | |
| Common Stock | Aug 21, 2018 | M | 1,000 | $12.70 | A | 16,982 | D | |
| Common StockF3 | Aug 21, 2018 | S | 1,000 | $22.7097 | D | 15,982 | D | |
| Common Stock | Aug 21, 2018 | S | 563 | $22.70 | D | 15,419 | D | |
| Common StockF4 | Aug 21, 2018 | S | 2,746 | $22.69 | D | 12,673 | 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) | $12.70 | Aug 21, 2018 | M | 1,000 | D | Jul 20, 2018 | Jul 20, 2022 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1Shares acquired throughout 2018 in an employee stock purchase plan.
- F2Disposition made pursuant to a net settlement whereby shares of stock were tendered to satisfy tax withholding obligations arising in conjunction with the vesting of previously issued restricted stock awards.
- F3Average sales price with a range of $22.7001 to $22.718.
- F4Average sales price with a range of $22.69 to $22.698.