SEC Form 4 · accession 0001209191-18-047002
RBB Bancorp · RBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruey Chyr Kao
Director
Period of report
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 3:15 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 14, 2018 | M | 10,763 | $9.2915 | A | 575,818 | D | |
| Common Stock, No Par Value | Aug 14, 2018 | M | 10,763 | $9.2915 | A | 586,581 | D | |
| Stock Options | Aug 14, 2018 | M | 10,763 | $9.2915 | D | 73,302 | D | |
| Stock Options | Aug 14, 2018 | M | 10,763 | $9.2915 | D | 62,539 | 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 14, 2018 | M | 10,763 | D | — | Nov 18, 2018 | Common Stock | 10,763 | 0 | D |
| Option (right to buy)F2 | $9.2915 | Aug 14, 2018 | M | 10,763 | D | — | Jan 2, 2019 | Common Stock | 10,763 | 0 | D |
| Option (right to buy)F3 | $18.25 | holding | — | — | — | — | May 17, 2026 | Common Stock | 10,000 | 10,000 | D |
| Option (right to buy)F4 | $17.08 | holding | — | — | — | — | May 20, 2025 | Common Stock | 10,000 | 10,000 | D |
| Option (right to buy)F5 | $13.2098 | holding | — | — | — | — | May 21, 2024 | Common Stock | 10,000 | 10,000 | D |
| Option (right to buy)F6 | $11.1498 | holding | — | — | — | — | May 15, 2023 | Common Stock | 10,763 | 10,763 | D |
| Option (right to buy)F7 | $11.1498 | holding | — | — | — | — | May 16, 2022 | Common Stock | 10,763 | 10,763 | D |
| Option (right to buy)F8 | $9.2915 | holding | — | — | — | — | May 18, 2021 | Common Stock | 10,763 | 10,763 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.
- F2These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
- F4These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
- F5These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
- F6These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
- F7These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
- F8These options vest in three equal annual installments beginning one year after the 05/18/2011 date of grant.