SEC Form 4 · accession 0001209191-18-035190
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
Tsu Te Huang
Officer — EVP
Period of report
Jun 4, 2018
Accepted (ET)
Jun 4, 2018 · 4:52 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 | Jun 4, 2018 | M | 4,000 | $11.15 | D | 211,251 | D | |
| Common Stock, No Par Value | Jun 4, 2018 | S | 4,000 | $29.274 | D | 207,251 | D | |
| Stock Options | Mar 9, 2018 | M | 21,525 | $9.2915 | D | 17,221 | D | |
| Stock Options | Mar 16, 2018 | M | 6,458 | $9.2915 | D | 10,763 | D | |
| Stock Options | Mar 16, 2018 | M | 6,763 | $11.1498 | D | 4,000 | D | |
| Stock Options | Jun 4, 2018 | M | 4,000 | $11.15 | D | 0 | 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 | $11.1498 | Jun 4, 2018 | M | 4,000 | D | — | Jan 1, 2023 | Common Stock | 4,000 | 0 | D |
| Option (right to buy)F2 | $9.2915 | holding | — | — | — | — | Apr 21, 2019 | Common Stock | 0 | 0 | D |
| Option (right to buy)F3 | $9.2915 | holding | — | — | — | — | Jan 1, 2022 | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.
- F2These options vest in three equal annual installments beginning one year after the 04/21/2009 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 01/01/2012 date of grant.