SEC Form 5 · accession 0001140361-15-007658
Customers Bancorp, Inc. · CUBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Steven J Zuckerman
Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 9:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001488813
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 27, 2014 | J | 1,186 | $0.00 | A | 15,661 | D | |
| Common StockF1 | May 27, 2014 | J | 19,841 | $0.00 | A | 218,254 | I | Steven J. Zuckerman revocable trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $9.55 | May 27, 2014 | J | 620 | A | Jun 30, 2009 | Jun 30, 2016 | Common Stock | 620 | 6,815 | I |
Explanation of responses
- F1On May 15, 2014, Customers Bancorp, Inc. declared a 10% stock dividend payable to all holders of record of common stock on May 27, 2014 (the "Stock Dividend"). As a result, the reporting person received additional shares of common stock as of June 30, 2014.
- F2Exercise price adjusted to account for the Stock Dividend.