SEC Form 4 · accession 0001209191-15-023462
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anita Wolman
Officer — EVP and General Counsel
Period of report
Mar 5, 2015
Accepted (ET)
Mar 6, 2015 · 3:31 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 StockF2 | Mar 5, 2015 | M | 20,000 | $10.00 | A | 67,298 | D | |
| Common StockF2 | Mar 5, 2015 | S | 13,124 | $20.60 | D | 54,174 | D | |
| Common Stock | holding | — | — | — | 5,200 | I | By Spouse in Retirement Plans |
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 StockF3 | $10.00 | Mar 5, 2015 | M | 20,000 | D | — | May 16, 2015 | Common Stock | 20,000 | 0 | D |
| Options to Purchase Common StockF3 | $22.00 | holding | — | — | — | — | Apr 25, 2016 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 5, 2015
- F2Includes 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.
- F3As of filing date, the stock option grant is 100% vested and immediately exercisable.