SEC Form 4 · accession 0001209191-17-007240
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Cosgrove
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 2, 2017 · 5:52 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 | Feb 1, 2017 | S | 15,000 | $36.50 | D | 246,604 | I | Trustee of the Kenneth Cosgrove & Carolyn Cosgrove Trust |
| Common StockF3 | holding | — | — | — | 1,200 | D | ||
| Common Stock | holding | — | — | — | 22,956 | I | Kenneth Cosgrove's 401K | |
| Common Stock | holding | — | — | — | 15,098 | I | Kenneth Cosgrove's Self-Directed IRA | |
| Common Stock | holding | — | — | — | 19,885 | I | Spouse's Self-Directed IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the aggregate of sales effected on the same day at the same price per share.
- F2This 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 at a price of $36.50 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 sold at each separate price.
- F3Includes 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.