1st Century Bancshares, Inc. 4
4 · 1st Century Bancshares, Inc. · Filed May 15, 2015
Insider Transaction Report
Form 4
ROTHENBERG ALAN I
DirectorCEO and Chairman of the Board
Transactions
- Award
Common Stock
2015-05-15+45,000→ 750,680 total
Holdings
- 60,225(indirect: Alan Rothenberg Defined Benefit Pension Plan)
Common Stock
- 44,417(indirect: By 401(k))
Common Stock
- 27,750(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 (2)
- [F1]All 45,000 of these shares are 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 Appendix A to the Issuer's Form DEF 14A on April 8, 2013.
- [F2]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 and Appendix A to the Issuer's Form DEF 14A on April 8, 2013.