SEC Form 4/A · accession 0001209191-19-007352
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
Peter M Chang
Director
Period of report
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 4:33 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 | 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 |
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 | $18.25 | Feb 1, 2019 | M | 6,667 | D | — | May 17, 2026 | Common Stock | 10,000 | 3,333 | D |
| Option (right to buy)F2 | $17.08 | Feb 1, 2019 | M | 10,000 | D | — | May 20, 2025 | Common Stock | 10,000 | 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 | $11.1498 | Feb 1, 2019 | M | 10,763 | D | — | May 15, 2023 | Common Stock | 10,763 | 0 | D |
| Option (right to buy)F5 | $11.1498 | Feb 1, 2019 | M | 10,763 | D | — | May 16, 2022 | Common Stock | 10,763 | 0 | D |
| Option (right to buy)F6 | $9.2915 | Feb 1, 2019 | M | 10,763 | D | — | May 18, 2021 | Common Stock | 10,763 | 0 | D |
| Option (right to buy)F7 | $9.2915 | holding | — | — | — | — | Jan 2, 2019 | Common Stock | 0 | 0 | D |
| Option (right to buy)F8 | $9.2915 | holding | — | — | — | — | Nov 18, 2018 | Common Stock | 0 | 0 | D |
Explanation of responses
- F1These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
- F2These options vest in three equal annual installments beginning one year after the 05/20/2015 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 05/15/2013 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 05/18/2011 date of grant.
- F7These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.
- F8These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.