SEC Form 4 · accession 0001209191-15-080572
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles R Beauregard
Director
Period of report
Nov 17, 2015
Accepted (ET)
Nov 17, 2015 · 4:14 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 | Nov 17, 2015 | S | 5,000 | $26.46 | D | 89,390 | 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 StockF2 | $7.59 | holding | — | — | — | — | Jun 21, 2016 | Common Stock | 32,924 | 32,924 | 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.
- F2As of filing date, the stock option grant is 100% vested and immediately exercisable.