SEC Form 4/A · accession 0001209191-18-057870
RBB Bancorp · RBB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Vincent Liu
Officer — EVP
Period of report
May 9, 2018
Accepted (ET)
Nov 9, 2018 · 11:41 am 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, No Par Value | May 9, 2018 | M | 6,199 | $9.2915 | A | 71,469 | D | |
| Common Stock, No Par Value | May 9, 2018 | M | 6,199 | $27.28 | D | 65,270 | D | |
| Common Stock, No Par Value | May 10, 2018 | M | 2,000 | $28.00 | D | 63,270 | D | |
| Common Stock, No Par Value | May 10, 2018 | M | 2,000 | $27.90 | D | 61,270 | D | |
| Common Stock, No Par Value | May 10, 2018 | M | 2,000 | $27.80 | D | 59,270 | D | |
| Common Stock, No Par Value | May 10, 2018 | M | 2,000 | $27.70 | D | 57,270 | D | |
| Common Stock, No Par Value | May 11, 2018 | M | 3,906 | $28.15 | D | 53,364 | D | |
| Common Stock, No Par Value | May 22, 2018 | M | 2,000 | $28.90 | D | 51,364 | D | |
| Stock Options | May 9, 2018 | M | 6,199 | $9.2915 | D | 107,172 | 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 | May 9, 2018 | M | 818 | D | — | Nov 4, 2018 | Common Stock | 818 | 0 | D |
| Option (right to buy)F2 | $9.2915 | May 9, 2018 | M | 5,381 | D | — | Nov 18, 2018 | Common Stock | 5,381 | 0 | D |
| Option (right to buy)F3 | $11.1498 | holding | — | — | — | — | Jan 1, 2023 | Common Stock | 107,172 | 107,172 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 11/04/2008 date of grant.
- 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 01/01/2013 date of grant.