SEC Form 4 · accession 0001209191-18-014557
RBB Bancorp · RBB
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
Simon Pang
Officer — EVP
Period of report
Feb 16, 2018
Accepted (ET)
Feb 28, 2018 · 4:48 pm EST
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 | Feb 16, 2018 | M | 110,287 | $9.2915 | A | 135,041 | D | |
| Common Stock, No Par Value | Feb 16, 2018 | S | 35,287 | $26.056 | D | 99,754 | D | |
| Common Stock, No Par Value | Feb 16, 2018 | S | 75,000 | $26.393 | D | 24,754 | D | |
| Stock Options | Feb 16, 2018 | M | 110,287 | $9.2915 | D | 121,078 | 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 | Feb 16, 2018 | M | 104,906 | D | — | Nov 4, 2018 | Common Stock | 104,906 | 0 | D |
| Option (right to buy)F2 | $9.2915 | Feb 16, 2018 | M | 5,381 | D | — | Nov 18, 2018 | Common Stock | 5,381 | 0 | 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.