SEC Form 4 · accession 0001209191-16-142374
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
K Brian Horton
Officer — President · Director
Period of report
Sep 21, 2016
Accepted (ET)
Sep 22, 2016 · 11:38 am 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 | Sep 21, 2016 | J | 3,362 | $0.00 | D | 0 | I | By Chester E Horton Jr. as Custodian for UTMA/CA for Christopher R. Horton |
| Common StockF2 | holding | — | — | — | 64,574 | D | ||
| Common Stock | holding | — | — | — | 70,444 | I | By K Brian Horton, Trustee of the K Brian Horton Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is reporting the disposition of 3,362 shares from a CUTMA account which he had indirectly controlled at one point in time because the shares have been transferred to his child, who has reached the age of majority.
- 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.