1st Century Bancshares, Inc. 4
4 · 1st Century Bancshares, Inc. · Filed Jan 7, 2014
Insider Transaction Report
Form 4
ROTHENBERG ALAN I
DirectorCEO and Chairman of the Board
Transactions
- Exercise/Conversion
Common Stock
2014-01-06$5.00/sh+210,000$1,050,000→ 699,152 total - Tax Payment
Common Stock
2014-01-06$7.00/sh−23,472$164,304→ 675,680 total - Exercise/Conversion
Stock Option (right to buy)
2014-01-06−210,000→ 0 totalExercise: $5.00From: 2005-10-20Exp: 2014-02-24→ Common Stock (210,000 underlying)
Holdings
- 60,225(indirect: Alan Rothenberg Defined Benefit Pension Plan)
Common Stock
- 39,350(indirect: By 401(k))
Common Stock
- 21,500(indirect: Latham & Watkins Thrift & Profit Sharing Retirement Plan)
Common Stock
- 307,573
Stock Option (right to buy)
Exercise: $8.01From: 2005-10-20Exp: 2015-08-15→ Common Stock (307,573 underlying)
Footnotes (1)
- [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 a form of which was previously filed as Exhibit 4.5 to the Issuer's Form S-8 filed with the SEC on December 21, 2007.