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4//SEC Filing

CU Bancorp 4

Accession 0001209191-16-114368

CIK 0001543643operating

View on SEC.gov Company Profile

Filed

Apr 14, 8:00 PM ET

Accepted

Apr 15, 3:27 PM ET

Size

16.5 KB

Accession

0001209191-16-114368

Insider Transaction Report

Form 4

Period: 2016-04-13

DirectorPresident

Transactions

Exercise/Conversion
Common Stock
2016-04-13$7.59/sh+6,914$52,477→ 71,488 total
Exercise/Conversion
Common Stock
2016-04-14$7.59/sh+5,133$38,959→ 69,708 total
Sale
Common Stock
2016-04-14$22.04/sh−5,133$113,131→ 64,574 total
Exercise/Conversion
Options to Purchase Common Stock
2016-04-14−5,133→ 0 total
Exercise: $7.59Exp: 2016-06-21→ Common Stock (5,133 underlying)
Sale
Common Stock
2016-04-13$22.00/sh−6,914$152,108→ 64,574 total
Exercise/Conversion
Options to Purchase Common Stock
2016-04-13−4,821→ 5,133 total
Exercise: $7.59Exp: 2016-06-21→ Common Stock (9,954 underlying)

Holdings

Common Stock
(indirect: By Trust)
70,444
Common Stock
(indirect: By Chester E Horton Jr. as Custodian for UTMA/CA for Christopher R. Horton)
3,362

Footnotes (5)

[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 4, 2015.
[F3]Represents the aggregate of sales effected on the same day at different prices.
[F4]This 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 within a one dollar range, ranging from $22.00 to $22.21 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.
[F5]As of filing date, the stock option grant is 100% vested and immediately exercisable.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

CU Bancorp

CIK 0001543643

Entity typeoperating

IncorporatedCA

Related Parties

1

filerCIK 0001543643

Filing Metadata

Form type: 4
Filed: Apr 14, 8:00 PM ET
Accepted: Apr 15, 3:27 PM ET
Size: 16.5 KB

View on SEC.gov