SEC Form 4 · accession 0001209191-17-021848
CU Bancorp · CUNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne A Williams
Officer — EVP, CCO & COO
Period of report
Mar 19, 2017
Accepted (ET)
Mar 20, 2017 · 7:21 pm 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 StockF2 | Mar 19, 2017 | F | 3,991 | $40.00 | D | 121,823 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is reporting the withholding by CU Bancorp of 3,991 shares of common stock to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of 9,000 shares of restricted stock to the Reporting Person on March 19, 2017, in accordance with the vesting schedule set forth in the restricted stock grant.
- F2Include 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