SEC Form 4 · accession 0001209191-16-154868
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles R Beauregard
Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 3:14 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,F2,F3 | Dec 12, 2016 | S | 34,594 | $32.05 | D | 78,920 | D |
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 occurance of certain events specified in the restricted stock grant.
- F2Represents the aggregate of sales effected on the same day at different prices.
- F3This 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 $32.00 to $32.23 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 sole at each separate price.