SEC Form 4 · accession 0001209191-17-050796
RBB Bancorp · RBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Liu
Officer — EVP
Period of report
Aug 23, 2017
Accepted (ET)
Aug 30, 2017 · 6:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499422
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, No Par Value | Aug 23, 2017 | M | 10,000 | $9.2915 | A | 43,364 | D | |
| Stock Options | Aug 23, 2017 | M | 10,000 | $9.2915 | D | 307,465 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $9.2915 | Aug 23, 2017 | M | 10,000 | D | — | Nov 4, 2018 | Common Stock | 191,006 | 181,006 | D |
| Option (right to buy)F2 | $9.2915 | holding | — | — | — | — | Nov 18, 2018 | Common Stock | 5,381 | 5,381 | D |
| Option (right to buy)F3 | $11.1498 | holding | — | — | — | — | Jan 1, 2023 | Common Stock | 121,078 | 121,078 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 11/04/2008 date of grant.
- F2These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.