4//SEC Filing
CU Bancorp 4
Accession 0001181431-13-056587
CIK 0001543643operating
Filed
Nov 3, 7:00 PM ET
Accepted
Nov 4, 8:13 PM ET
Size
16.0 KB
Accession
0001181431-13-056587
Insider Transaction Report
Form 4
CU BancorpCUNB
DENNEN ROBERT J
SVP, Chief Accounting Officer
Transactions
- Exercise/Conversion
Options to Purchase Common Stock
2013-10-31−821→ 38,242 totalExercise: $10.00From: 2006-05-17Exp: 2015-05-16→ Common Stock (39,063 underlying) - Sale
Common Stock
2013-10-31$18.81/sh−821$15,443→ 6,958 total - Exercise/Conversion
Common Stock
2013-10-31$10.00/sh+821$8,210→ 7,779 total
Holdings
- 1,000(indirect: See Footnote)
Common Stock
- 6,000(indirect: 529 Plan)
Common Stock
- 5,000(indirect: By Trust)
Common Stock
- 2,500(indirect: As Executor of the Macel Dennen Estate)
Common Stock
- 41,212(indirect: By IRA)
Common Stock
- 5,000
Options to Purchase Common Stock
Exercise: $7.80From: 2010-01-27Exp: 2015-01-27→ Common Stock (5,000 underlying) - 5,000
Options to Purchase Common Stock
Exercise: $22.00From: 2007-04-26Exp: 2016-04-25→ Common Stock (5,000 underlying)
Footnotes (8)
- [F1]Includes 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.
- [F2]The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 13, 2013.
- [F3]Represents the aggregate of sales effected on the same day at different prices.
- [F4]Represents the weighted average sales price per share. The shares were sold at prices ranging from $18.70 to $19.01 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission.
- [F5]These shares are held by Mitchell Dennen. Mitchell Dennen is an adult son of the reporting person.
- [F6]39,063 stock options were granted to the Reporting Person on May 17, 2005. The options vested in four equal annual installments on each of May 17, 2006, 2007, 2008 and 2009, and as of the filing date are fully vested and exercisable. As of the date of this report, a total of 821 stock options were exercised by the Reporting Person.
- [F7]Stock options were granted to the reporting person on April 26, 2006. The options vested in four equal annual installments on each of April 26, 2007, 2008, 2009 and 2010, and as of the filing date are fully vested and exercisable.
- [F8]Stock options were granted to the reporting person on January 27, 2009. The options vested in four equal annual installments on each of January 27, 2010, 2011, 2012 and 2013 and as of the filing date are fully vested and exercisable.
Documents
Issuer
CU Bancorp
CIK 0001543643
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0001543643
Filing Metadata
- Form type
- 4
- Filed
- Nov 3, 7:00 PM ET
- Accepted
- Nov 4, 8:13 PM ET
- Size
- 16.0 KB