SEC Form 4 · accession 0001209191-17-058735
RBB Bancorp · RBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Richard Morris
Officer — EVP
Period of report
Nov 2, 2017
Accepted (ET)
Nov 2, 2017 · 11:54 am 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 | Nov 2, 2017 | M | 4,500 | $9.2915 | A | 8,576 | D | |
| Stock Options | Nov 2, 2017 | M | 4,500 | $9.2915 | D | 88,287 | 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 | Nov 2, 2017 | M | 4,500 | D | — | Feb 1, 2020 | Common Stock | 29,288 | 24,788 | D |
| Option (right to buy)F2 | $9.2915 | holding | — | — | — | — | Jan 1, 2022 | Common Stock | 9,686 | 9,686 | D |
| Option (right to buy)F3 | $11.1498 | holding | — | — | — | — | Jan 1, 2023 | Common Stock | 53,813 | 53,813 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 02/01/2010 date of grant.
- F2These options vest in three equal annual installments beginning one year after the 01/01/2012 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.