SEC Form 4 · accession 0001209191-16-150768
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles H Sweetman
Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 11:53 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 Stock | Nov 15, 2016 | G | 2,000 | $0.00 | D | 22,100 | I | As Trustee of the Charles and Judith Sweetman Family Trust |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 1,500 | I | Judith Sweetman as Custodian under CUTMA for Drake W. Radmacher |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 1,500 | I | Judith Sweetman as Custodian under CUTMA for Ivy K. Radmacher |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 1,100 | I | Judith Sweetman as Custodian under CUTMA for Zachary A. Kosma |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 1,100 | I | Judith Sweetman as Custodian under CUTMA for Marcus Oliver Kosma |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 3,400 | I | Charles H. Sweetman as Custodian under CUTMA for Kaylee J. Sweetman |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 2,900 | I | Charles H. Sweetman as Custodian under CUTMA for Patrick C. Roche |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 2,900 | I | Charles H. Sweetman as Custodian under CUTMA for the Sophia Rose Sweetman |
| Common Stock | Nov 15, 2016 | G | 250 | $0.00 | A | 1,000 | I | Charles H. Sweetman as Custodian under CUTMA for Emily K. Roche |
| Common StockF1 | holding | — | — | — | 2,370 | D | ||
| Common Stock | holding | — | — | — | 21,500 | 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 |
Table II — derivative securities
No Table II lines on this filing.
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 occurrence of certain events specified in the restricted stock grant.