SEC Form 3 · accession 0001140361-17-014275
COMMUNITY WEST BANCSHARES / · CWBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan C Thompson
Officer — EVP, CFO
Period of report
Apr 1, 2017
Accepted (ET)
Apr 3, 2017 · 12:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001051343
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 12,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $4.71 | holding | — | — | — | Jun 27, 2014 | Mar 28, 2023 | Common Stock | 5,000 | — | D |
| Stock OptionF1 | $7.19 | holding | — | — | — | Feb 27, 2015 | Feb 27, 2024 | Common Stock | 4,000 | — | D |
| Stock OptionsF1 | $6.6996 | holding | — | — | — | Mar 26, 2016 | Mar 26, 2025 | Common Stock | 3,500 | — | D |
| Stock OptionsF1 | $6.86 | holding | — | — | — | Mar 24, 2017 | Mar 24, 2026 | Common Stock | 3,500 | — | D |
Explanation of responses
- F1Each stock option grant vests 1/5 per year from the date of grant. The date exercisable is the date of the first tranche vesting. 6,500 of these shares are exercisable.