SEC Form 4 · accession 0001062993-16-011831

CommunityOne Bancorp · COB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Oct 19, 2016

Accepted (ET)

Oct 21, 2016 · 1:46 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000764811

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option	$16.00	Oct 19, 2016	J	8,647	D	Oct 1, 2017	Sep 30, 2024	Common Stock	8,647	95,120	D
Option	$16.00	Oct 19, 2016	J	8,648	D	Oct 1, 2018	Sep 30, 2024	Common Stock	8,648	86,472	D
Option^F1	$16.00	Oct 19, 2016	J	17,295	D	—	Sep 30, 2024	Common Stock	17,295	69,177	D
Option	$16.00	Oct 19, 2016	J	8,647	D	Jul 31, 2017	Jul 30, 2025	Common Stock	8,647	60,530	D
Option	$16.00	Oct 19, 2016	J	8,647	D	Jul 31, 2018	Jul 30, 2025	Common Stock	8,647	51,883	D
Option	$16.00	Oct 19, 2016	J	8,648	D	Jul 31, 2019	Jul 30, 2025	Common Stock	8,648	43,235	D
Option^F2	$16.00	Oct 19, 2016	J	17,294	D	—	Jul 30, 2025	Common Stock	17,294	25,941	D

F18,648 and 8,647 of the options vest and are exercisable upon the Company's Common Stock reaching $22 and $24, respectively, over a ten day period within seven years of the grant date, 10/1/2014
F2One half of the options vest and are exercisable upon the Company's Common Stock reaching each of $22 and $24 over a ten day period within seven years of the grant date, 7/31/2015
F3Termination of unvested options pursuant to the terms of amendment to option agreements, dated October 3, 2016, of Mr. Nielsen.