SEC Form 4/A · accession 0001209191-18-057885
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
Tsu Te Huang
Officer — EVP
Period of report
Jun 4, 2018
Accepted (ET)
Nov 9, 2018 · 12:37 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, No Par Value | Jun 4, 2018 | M | 4,000 | $11.15 | A | 219,251 | D | |
| Common Stock, No Par Value | Jun 4, 2018 | M | 4,000 | $29.274 | D | 215,251 | D | |
| Stock Options | Jun 4, 2018 | M | 4,000 | $11.15 | D | 0 | 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 | Jun 4, 2018 | M | 4,000 | D | — | Jan 1, 2023 | Common Stock | 4,000 | 0 | D |
| Option (right to buy)F2 | $9.2915 | holding | — | — | — | — | Apr 21, 2019 | Common Stock | 0 | 0 | D |
| Option (right to buy)F3 | $9.2915 | holding | — | — | — | — | Jan 1, 2022 | 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 04/21/2009 date of grant.
- F3These options vest in three equal annual installments beginning one year after the 01/01/2012 date of grant.