SEC Form 4 · accession 0001209191-15-002983
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne A Williams
Officer — EVP and CCO
Period of report
Jan 6, 2015
Accepted (ET)
Jan 7, 2015 · 7:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001543643
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 6, 2015 | F | 2,699 | $20.38 | D | 103,369 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF2 | $22.00 | holding | — | — | — | — | Apr 25, 2016 | Common Stock | 5,000 | 5,000 | D |
| Options to Purchase Common StockF2 | $12.20 | holding | — | — | — | — | Apr 27, 2017 | Common Stock | 8,500 | 8,500 | D |
Explanation of responses
- F1Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant.
- F2As of filing date, the stock option grant is 100% vested and immediately exercisable.