SEC Form 4 · accession 0001209191-19-006359

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

Director

Period of report

Feb 1, 2019

Accepted (ET)

Feb 1, 2019 · 3:00 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	Feb 1, 2019	M	10,763	$9.2915	A	358,941	D
Common Stock, No Par Value	Feb 1, 2019	M	21,526	$11.1498	A	380,467	D
Common Stock, No Par Value	Feb 1, 2019	M	10,250	$13.21	A	390,717	D
Common Stock, No Par Value	Feb 1, 2019	M	10,000	$17.08	A	400,717	D
Common Stock, No Par Value	Feb 1, 2019	M	6,667	$18.25	A	407,384	D
Stock Options	Feb 1, 2019	M	10,763	$9.2915	D	51,776	D
Stock Options	Feb 1, 2019	M	21,526	$11.1498	D	30,250	D
Stock Options	Feb 1, 2019	M	10,250	$13.21	D	20,000	D
Stock Options	Feb 1, 2019	M	10,000	$17.08	D	10,000	D
Stock Options	Feb 1, 2019	M	6,667	$18.25	D	3,333	D
Stock Options	holding	—	—		—	3,333	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	Feb 1, 2019	M	10,763	D	—	May 18, 2021	Common Stock	10,763	0	D
Option (right to buy)^F2	$11.1498	Feb 1, 2019	M	10,763	D	—	May 16, 2022	Common Stock	10,763	0	D
Option (right to buy)^F3	$13.2098	Feb 1, 2019	M	10,250	D	—	May 21, 2024	Common Stock	10,250	0	D
Option (right to buy)^F4	$17.08	Feb 1, 2019	M	10,000	D	—	May 20, 2025	Common Stock	10,000	0	D
Option (right to buy)^F5	$18.25	Feb 1, 2019	M	6,667	D	—	May 17, 2026	Common Stock	10,000	3,333	D
Option (right to buy)^F6	$11.1498	Feb 1, 2019	M	10,763	D	—	May 15, 2023	Common Stock	10,763	0	D
Option (right to buy)^F7	$9.2915	holding	—	—	—	—	Nov 18, 2018	Common Stock	0	0	D
Option (right to buy)^F8	$9.2915	holding	—	—	—	—	Jan 2, 2019	Common Stock	0	0	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 05/21/2014 date of grant.
F4These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F5These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
F6These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F7These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.
F8These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.