SEC Form 4 · accession 0001209191-15-079581

CU Bancorp · CUNB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President · Director

Period of report

Nov 10, 2015

Accepted (ET)

Nov 12, 2015 · 12:50 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 Stock^F1	Nov 10, 2015	S	6,725	$26.50	D	70,444	I	By K Brian Horton, Trustee of the K Brian Horton Trust
Common Stock^F2	holding	—	—		—	57,660	D
Common Stock	holding	—	—		—	3,362	I	By Chester E Horton Jr. as Custodian for UTMA/CA for Christopher R. Horton

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options to Purchase Common Stock^F3	$7.59	Oct 15, 2015	M	6,749	D	—	Jun 21, 2016	Common Stock	59,150	52,401	D
Options to Purchase Common Stock^F3	$7.59	Oct 16, 2015	M	2,633	D	—	Jun 21, 2015	Common Stock	52,401	49,768	D

F1This 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 $26.50 to $26.51 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.
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.