SEC Form 4 · accession 0001209191-15-074675

CU Bancorp · CUNB

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

Oct 5, 2015

Accepted (ET)

Oct 7, 2015 · 5:21 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
Common Stock^F1	Oct 5, 2015	M	2,570	$7.59	A	134,404	D
Common Stock^F1,F3,F4	Oct 5, 2015	S	2,570	$22.77	D	131,834	D
Common Stock^F1	Oct 6, 2015	M	5,201	$7.59	A	137,035	D
Common Stock^F1,F3,F5	Oct 6, 2015	S	5,201	$22.77	D	131,834	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options to Purchase Common Stock^F6	$7.59	Oct 5, 2015	M	2,570	D	—	Jun 21, 2016	Common Stock	92,187	89,617	D
Options to Purchase Common Stock^F6	$7.59	Oct 6, 2015	M	5,201	D	—	Jun 21, 2016	Common Stock	89,617	84,416	D

F1Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurance of certain events specified in the restricted stock grant.
F2The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 4, 2015.
F3Represents the aggregate of sales effected on the same day at different prices.
F4This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $22.74 to $22.85 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.
F5This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $22.50 to $22.85 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.
F6As of filing date, the stock option grant is 100% vested and immediately exercisable.