SEC Form 4 · accession 0001437749-15-012619
1st Century Bancshares, Inc. · FCTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan I Rothenberg
Officer — CEO and Chairman of the Board · Director · 10% Owner
Period of report
Jun 18, 2015
Accepted (ET)
Jun 19, 2015 · 4:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001420525
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 18, 2015 | M | 307,573 | $8.01 | A | 1,052,616 | D | |
| Common StockF1 | Jun 18, 2015 | F | 298,659 | $8.40 | D | 753,957 | D | |
| Common Stock | holding | — | — | — | 60,225 | I | Alan Rothenberg Defined Benefit Pension Plan | |
| Common Stock | holding | — | — | — | 44,417 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 27,750 | I | Latham & Watkins Thrift & Profit Sharing Retirement Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $8.01 | Jun 18, 2015 | M | 307,573 | D | Oct 20, 2005 | Aug 15, 2015 | Common Stock | 307,573 | 0 | D |
Explanation of responses
- F1Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant, a form of which was previously filed as Exhibit 4.5 to the Issuer's Form S-8 filed with the SEC on December 21, 2007 and Appendix A to the Issuer's Form DEF 14A on April 8, 2013.