SEC Form 4 · accession 0001209191-16-096232
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anita Wolman
Officer — EVP and General Counsel
Period of report
Feb 2, 2015
Accepted (ET)
Feb 8, 2016 · 11:46 am 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 | Feb 2, 2015 | A | 4,335 | $0.00 | A | 68,262 | D | |
| Common Stock | holding | — | — | — | 5,200 | I | By Spouse in Retirement Plans |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F14,335 restricted shares of common stock were granted to the Reporting Person on February 2, 2016, pursuant to the 2015 Management Incentive Plan developed under and pursuant to the 2007 Equity and Incentive Plan, as amended and restated July 31, 2014. The restricted stock awards vest 50% on the second Tuesday in December 2016, and the remaining 50% on the second Tuesday in December, 2017.
- 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.