4//SEC Filing
CU Bancorp 4
Accession 0001181431-13-056988
CIK 0001543643operating
Filed
Nov 4, 7:00 PM ET
Accepted
Nov 5, 6:04 PM ET
Size
20.7 KB
Accession
0001181431-13-056988
Insider Transaction Report
Form 4
CU BancorpCUNB
DENNEN ROBERT J
SVP, Chief Accounting Officer
Transactions
- Exercise/Conversion
Common Stock
2013-11-01$7.80/sh+5,000$39,000→ 29,137 total - Sale
Common Stock
2013-11-01$18.55/sh−30$556→ 6,958 total - Sale
Common Stock
2013-11-01$18.50/sh−22,139$409,572→ 6,998 total - Sale
Common Stock
2013-11-01$18.54/sh−10$185→ 6,988 total - Exercise/Conversion
Options to Purchase Common Stock
2013-11-01−17,179→ 21,063 totalExercise: $10.00Exp: 2015-05-16→ Common Stock (38,242 underlying) - Exercise/Conversion
Common Stock
2013-11-01$10.00/sh+17,179$171,790→ 24,137 total - Exercise/Conversion
Options to Purchase Common Stock
2013-11-01−5,000→ 0 totalExercise: $7.80Exp: 2015-01-27→ Common Stock (5,000 underlying)
Holdings
- 5,000
Options to Purchase Common Stock
Exercise: $22.00Exp: 2016-04-25→ Common Stock (5,000 underlying) - 6,000(indirect: 529 Plan)
Common Stock
- 41,212(indirect: By IRA)
Common Stock
- 2,500(indirect: As Executor of the Macel Dennen Estate)
Common Stock
- 1,000(indirect: See Footnote)
Common Stock
- 5,000(indirect: By Trust)
Common Stock
Footnotes (6)
- [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 16, 2013.
- [F3]These shares are held by Mitchell Dennen. Mitchell Dennen is an adult son of the reporting person.
- [F4]39,063 stock options were granted under the 2005 Stock Option Plan 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 are fully vested and exercisable. As of the date of this report, a total of 18,000 stock options were exercised by the Reporting Person.
- [F5]5,000 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. As of the date of this report, a total of 5,000 stock options were exercised by the Reporting Person.
- [F6]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.
Documents
Issuer
CU Bancorp
CIK 0001543643
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0001543643
Filing Metadata
- Form type
- 4
- Filed
- Nov 4, 7:00 PM ET
- Accepted
- Nov 5, 6:04 PM ET
- Size
- 20.7 KB