SEC Form 4 · accession 0001209191-15-077899
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles H Sweetman
Director
Period of report
Oct 29, 2015
Accepted (ET)
Nov 2, 2015 · 6:40 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,F2 | Oct 29, 2015 | A | 1,170 | $0.00 | A | 3,170 | D | |
| Common Stock | holding | — | — | — | 25,100 | I | As Trustee of the Charles and Judith Sweetman Family Trust | |
| Common Stock | holding | — | — | — | 20,500 | I | As Trustee of the Charles H. Sweetman 1996 Trust | |
| Common Stock | holding | — | — | — | 2,000 | I | As Member/Manager of Sweetman Properties LLC | |
| Common Stock | holding | — | — | — | 1,000 | I | As Trustee of the Judith Sweetman Trust | |
| Common Stock | holding | — | — | — | 3,150 | I | Charles H. Sweetman as Custodian under CUTMA for Kaylee J. Sweetman | |
| Common Stock | holding | — | — | — | 2,650 | I | Charles H. Sweetman as Custodian under CUTMA for Patrick C. Roche | |
| Common Stock | holding | — | — | — | 2,650 | I | Charles H. Sweetman as Custodian under CUTMA for the Sophia Rose Sweetman | |
| Common Stock | holding | — | — | — | 1,250 | I | Charles H. Sweetman as Custodian under CUTMA for Emily K. Roche | |
| Common Stock | holding | — | — | — | 500 | I | Judith Sweetman as Custodian under CUTMA for Zachary A. Kosma | |
| Common Stock | holding | — | — | — | 500 | I | Judith Sweetman as Custodian under CUTMA for Marcus Oliver Kosma | |
| Common Stock | holding | — | — | — | 600 | I | Judith Sweetman as Custodian under CUTMA for Drake W. Radmacher | |
| Common Stock | holding | — | — | — | 600 | I | Judith Sweetman as Custodian under CUTMA for Ivy K. Radmacher |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,170 restricted shares of common stock were granted to the Reporting Person on October 29, 2015. The closing price per share of the issuer's stock as of that date was $25.62 per share. The restricted stock shares are subject to time-based vesting pursuant to which the shares will vest on the earlier of October 29, 2016 or the date of CU Bancorp's 2016 Annual Shareholder Meeting.
- 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.