SEC Form 4 · accession 0001209191-15-067627
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen A Schoenbaum
Officer — EVP & CFO
Period of report
Aug 24, 2015
Accepted (ET)
Aug 24, 2015 · 6:55 pm EDT
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 | Aug 24, 2015 | M | 900 | $12.52 | A | 44,200 | 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 StockF3 | $12.52 | Aug 24, 2015 | M | 900 | D | — | Oct 27, 2015 | Common Stock | 900 | 0 | D |
Explanation of responses
- F1Exercise of 900 stock options from the 12,000 shares granted to the Reporting Person on October 27, 2009.
- F2Include 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.