SEC Form 4 · accession 0001209191-18-057531

RBB Bancorp · RBB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 6, 2018

Accepted (ET)

Nov 7, 2018 · 2:31 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
Stock Options	Nov 6, 2018	M	10,763	$9.2915	D	51,776	D
Stock Options	Nov 6, 2018	M	10,763	$11.1498	D	41,013	D
Common Stock, No Par Value	Nov 6, 2018	M	10,763	$9.2915	A	10,763	D
Common Stock, No Par Value	Nov 6, 2018	M	10,763	$11.1498	A	21,526	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 6, 2018	M	10,763	D	—	May 18, 2021	Common Stock	10,763	0	D
Option (right to buy)^F2	$11.1498	Nov 6, 2018	M	10,763	D	—	May 16, 2022	Common Stock	10,763	0	D
Option (right to buy)^F3	$11.1498	holding	—	—	—	—	May 15, 2023	Common Stock	10,763	10,763	D
Option (right to buy)^F4	$13.2098	holding	—	—	—	—	May 21, 2024	Common Stock	10,250	10,250	D
Option (right to buy)^F5	$17.08	holding	—	—	—	—	May 20, 2025	Common Stock	10,000	10,000	D
Option (right to buy)^F6	$18.25	holding	—	—	—	—	May 17, 2026	Common Stock	10,000	10,000	D

F1These options vest in three equal annual installments beginning one year after the 05/18/2011 date of grant.
F2These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
F3These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F4These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F5These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F6These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.