SEC Form 4 · accession 0001209191-18-057090

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

Officer — President/CEO

Period of report

Nov 1, 2018

Accepted (ET)

Nov 5, 2018 · 1:37 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
Common Stock, No Par Value	Nov 1, 2018	P	103,537	$9.2915	A	435,114	D
Stock Options	Nov 1, 2018	M	103,537	$9.2915	D	220,629	D
Restricted Stock Shares	holding	—	—		—	43,425	D

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 1, 2018	M	82,011	D	—	Nov 4, 2018	Common Stock	82,011	0	D
Option (right to buy)^F2	$9.2915	Nov 1, 2018	M	10,763	D	—	Nov 18, 2018	Common Stock	10,763	0	D
Option (right to buy)^F3	$9.2915	Nov 1, 2018	M	10,763	D	—	Jan 2, 2019	Common Stock	10,763	0	D
Option (right to buy)^F4	$9.2915	holding	—	—	—	—	May 18, 2021	Common Stock	10,763	10,763	D
Option (right to buy)^F5	$11.1498	holding	—	—	—	—	May 16, 2022	Common Stock	10,763	10,763	D
Option (right to buy)^F6	$11.1498	holding	—	—	—	—	Jan 1, 2023	Common Stock	242,156	242,156	D
Option (right to buy)^F7	$11.1498	holding	—	—	—	—	May 15, 2023	Common Stock	10,763	10,763	D
Option (right to buy)^F8	$13.2098	holding	—	—	—	—	May 21, 2024	Common Stock	10,250	10,250	D
Option (right to buy)^F9	$17.08	holding	—	—	—	—	May 20, 2025	Common Stock	10,000	10,000	D
Option (right to buy)^F10	$18.25	holding	—	—	—	—	May 17, 2026	Common Stock	10,000	10,000	D
Restricted Stock Shares^F11,F12	$29.38	holding	—	—	—	—	—	Restricted Stock	43,425	43,425	D

F1These options vest in three equal annual installments beginning one year after the 11/04/2008 date of grant.
F10These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
F11These restricted stock vest in three equal annual installments beginning one year after the 08/15/2018 date of grant.
F12There will be no expiration date once restricted stock shares vest.
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 01/02/2009 date of grant.
F4These options vest in three equal annual installments beginning one year after the 05/18/2011 date of grant.
F5These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
F6These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.
F7These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F8These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F9These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.