SEC Form 4/A · accession 0001209191-15-075115
CU Bancorp · CUNB
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
David C Holman
Director
Period of report
Oct 5, 2015
Accepted (ET)
Oct 9, 2015 · 6:01 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 StockF1,F3 | Oct 5, 2015 | M | 4,178 | $7.59 | A | 136,012 | D | |
| Common StockF1,F4,F5 | Oct 5, 2015 | S | 2,570 | $22.77 | D | 133,442 | D | |
| Common StockF1,F3 | Oct 6, 2015 | M | 8,456 | $7.59 | A | 141,898 | D | |
| Common StockF1,F4,F6 | Oct 6, 2015 | S | 5,201 | $22.77 | D | 136,697 | 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,F7 | $7.59 | Oct 5, 2015 | M | 4,178 | D | — | Jun 21, 2016 | Common Stock | 92,187 | 88,009 | D |
| Options to Purchase Common StockF3,F7 | $7.59 | Oct 6, 2015 | M | 8,456 | D | — | Jun 21, 2016 | Common Stock | 88,009 | 79,553 | 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 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.
- F3The Reporting Person is submitting this amendment to Form 4 to correct the fact that on 10/05/2015 and 10/06/2015, respectively, the Reporting Peron exercised 1,608 and 3,255 more options and subsequently retained 1,608 and 3,255 more shares of common stock than was originally reported.
- F4Represents the aggregate of sales effected on the same day at different prices.
- 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 $22.74 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.
- F6This 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.
- F7As of filing date, the stock option grant is 100% vested and immediately exercisable.