SEC Form 4 · accession 0001209191-18-052530
RBB Bancorp · RBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Yeh
Officer — EVP
Period of report
Sep 26, 2018
Accepted (ET)
Sep 28, 2018 · 12:53 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 | Sep 26, 2018 | M | 4,036 | $11.1498 | A | 48,319 | D | |
| Stock Options | Sep 26, 2018 | M | 4,036 | $11.1498 | D | 4,036 | 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 | Sep 26, 2018 | M | 4,036 | D | — | Jan 1, 2023 | Common Stock | 8,072 | 4,036 | D |
| Option (right to buy)F2 | $9.2915 | holding | — | — | — | — | Jan 1, 2022 | Common Stock | 0 | 0 | D |
| Option (right to buy)F3 | $9.2915 | holding | — | — | — | — | Nov 4, 2018 | 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 01/01/2012 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 11/04/2008 date of grant.