Insider · CIK 0001238629

ROTHENBERG ALAN I

Reports to the SEC for 4 companies · LOS ANGELES, CA

sec.gov

Transactions

Companies

Filings

CIK

0001238629

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2016-07-01	1st Century Bancshares, Inc.D Disposition to Issuer	Director, CEO and Chairman of the Board, 10% Owner	DDisposition to Issuer	−754K sh	$11.22	−$8.46M	0
2016-07-01	1st Century Bancshares, Inc.D Disposition to Issuer	Director, CEO and Chairman of the Board, 10% Owner	DDisposition to Issuer	−27.8K sh	$11.22	−$311K	0
2016-07-01	1st Century Bancshares, Inc.D Disposition to Issuer	Director, CEO and Chairman of the Board, 10% Owner	DDisposition to Issuer	−45.4K sh	$11.22	−$509K	0
2016-07-01	1st Century Bancshares, Inc.D Disposition to Issuer	Director, CEO and Chairman of the Board, 10% Owner	DDisposition to Issuer	−60.2K sh	$11.22	−$676K	0
2015-06-18	1st Century Bancshares, Inc.M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	+308K sh	$8.01	+$2.46M	1,052,616
2015-06-18	1st Century Bancshares, Inc.Stock Option (right to buy)M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	−308K sh	—	—	0
2015-06-18	1st Century Bancshares, Inc.F Tax Payment	Director, CEO and Chairman of the Board, 10% Owner	FTax Payment	−299K sh	$8.40	−$2.51M	753,957
2015-05-21	1st Century Bancshares, Inc.F Tax Payment	Director, CEO and Chairman of the Board, 10% Owner	FTax Payment	−5,637 sh	$7.04	−$39.7K	745,043
2015-05-15	1st Century Bancshares, Inc.A Award	Director, CEO and Chairman of the Board, 10% Owner	AAward	+45K sh	—	—	750,680
2014-11-28	1st Century Bancshares, Inc.G Gift	Director, CEO and Chairman of the Board, 10% Owner	GGift	−15K sh	—	—	705,680
2014-01-06	1st Century Bancshares, Inc.F Tax Payment	Director, CEO and Chairman of the Board, 10% Owner	FTax Payment	−23.5K sh	$7.00	−$164K	675,680
2014-01-06	1st Century Bancshares, Inc.M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	+210K sh	$5.00	+$1.05M	699,152
2014-01-06	1st Century Bancshares, Inc.Stock Option (right to buy)M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	−210K sh	—	—	0
2013-11-20	1st Century Bancshares, Inc.Stock Option (right to buy)M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	−160K sh	—	—	210,000
2013-11-20	1st Century Bancshares, Inc.M Exercise/Conversion	Director, CEO and Chairman of the Board, 10% Owner	MExercise/Conversion	+160K sh	$5.00	+$800K	503,866
2013-11-20	1st Century Bancshares, Inc.F Tax Payment	Director, CEO and Chairman of the Board, 10% Owner	FTax Payment	−14.7K sh	$6.62	−$97.4K	489,152
2013-04-30	1st Century Bancshares, Inc.A Award	Director, CEO and Chairman of the Board, 10% Owner	AAward	+30K sh	—	—	343,866
2012-05-15	1st Century Bancshares, Inc.A Award	Director, CEO and Chairman of the Board, 10% Owner	AAward	+30K sh	—	—	313,866
2011-11-21	1st Century Bancshares, Inc.S Sale	Director, CEO and Chairman of the Board, 10% Owner	SSale	−3,000 sh	$3.43	−$10.3K	60,225
2011-11-18	1st Century Bancshares, Inc.P Purchase	Director, CEO and Chairman of the Board, 10% Owner	PPurchase	+5,000 sh	$3.51	+$17.5K	283,866
2011-11-17	1st Century Bancshares, Inc.A Award	Director, CEO and Chairman of the Board, 10% Owner	AAward	+30K sh	—	—	278,866
2011-07-07	CALIFORNIA PIZZA KITCHEN, INC.U Disposition from Tender	Director	UDisposition from Tender	−5,901 sh	$18.50	−$109K	1,284
2011-07-07	CALIFORNIA PIZZA KITCHEN, INC.Non-Qualified Stock Option (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	+5,507 sh	$11.00	+$60.6K	0
2011-07-07	CALIFORNIA PIZZA KITCHEN, INC.D Disposition to Issuer	Director	DDisposition to Issuer	−1,284 sh	$18.50	−$23.8K	0
2010-09-17	1st Century Bancshares, Inc.J Other	Director, CEO and Chairman of the Board, 10% Owner	JOther	+14.5K sh	—	—	248,866
2010-09-17	1st Century Bancshares, Inc.J Other	Director, CEO and Chairman of the Board, 10% Owner	JOther	−14.5K sh	—	—	63,225
2010-05-20	ZENITH NATIONAL INSURANCE CORPD Disposition to Issuer	Director	DDisposition to Issuer	−16.3K sh	$38.00	−$618K	0
2010-05-20	ZENITH NATIONAL INSURANCE CORPPhantom StockM Exercise/Conversion	Director	MExercise/Conversion	−30.6K sh	$38.00	−$1.16M	0
2010-05-20	ZENITH NATIONAL INSURANCE CORPD Disposition to Issuer	Director	DDisposition to Issuer	−5,000 sh	$38.00	−$190K	0
2010-05-15	1st Century Bancshares, Inc.A Award	Director, CEO and Chairman of the Board, 10% Owner	AAward	+30K sh	—	—	234,366
2010-05-14	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+398.46 sh	$37.89	+$15.1K	30,594.13
2010-04-01	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+1,370.04 sh	$38.32	+$52.5K	30,195.67
2010-02-12	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+504.83 sh	$28.05	+$14.2K	28,825.63
2010-01-04	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+1,764.11 sh	$29.76	+$52.5K	28,320.8
2009-12-29	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+350.58 sh	$29.90	+$10.5K	26,556.69
2009-11-23	1st Century Bancshares, Inc.P Purchase	Director, CEO and Chairman of the Board, 10% Owner	PPurchase	+2,000 sh	$3.63	+$7,255	77,725
2009-11-16	1st Century Bancshares, Inc.P Purchase	Director, CEO and Chairman of the Board, 10% Owner	PPurchase	+4,000 sh	$4.00	+$16K	75,725
2009-11-13	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+460.89 sh	$27.93	+$12.9K	26,206.11
2009-10-01	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+1,699.03 sh	$30.90	+$52.5K	25,745.22
2009-08-14	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+466.74 sh	$25.26	+$11.8K	24,046.19
2009-07-01	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+2,414.9 sh	$21.74	+$52.5K	23,579.45
2009-06-30	ZENITH NATIONAL INSURANCE CORPP Purchase	Director	PPurchase	+1,500 sh	$21.69	+$32.5K	16,250
2009-05-20	CALIFORNIA PIZZA KITCHEN, INC.A Award	Director	AAward	+3,852 sh	—	—	7,185
2009-05-14	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+461.91 sh	$22.41	+$10.4K	21,164.55
2009-05-13	ZENITH NATIONAL INSURANCE CORPA Award	Director	AAward	+2,500 sh	—	—	14,750
2009-04-01	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+2,177.52 sh	$24.11	+$52.5K	20,702.64
2009-03-09	ZENITH NATIONAL INSURANCE CORPP Purchase	Director	PPurchase	+5,000 sh	$19.07	+$95.4K	5,000
2009-03-05	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+330.85 sh	$20.15	+$6,666.628	18,525.12
2009-02-13	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+326.76 sh	$27.34	+$8,933.618	18,194.27
2009-01-05	ZENITH NATIONAL INSURANCE CORPPhantom StockA Award	Director	AAward	+1,360.87 sh	$31.23	+$42.5K	17,867.51

Recent filings

Accepted (ET)
Jul 54
1st Century Bancshares, Inc.0001437749-16-034813
SEC(opens sec.gov)
Jun 194
1st Century Bancshares, Inc.0001437749-15-012619
SEC(opens sec.gov)
May 224
1st Century Bancshares, Inc.0001437749-15-010905
SEC(opens sec.gov)
May 154
1st Century Bancshares, Inc.0001437749-15-010354
SEC(opens sec.gov)
Dec 14
1st Century Bancshares, Inc.0001437749-14-021526
SEC(opens sec.gov)
Jan 74
1st Century Bancshares, Inc.0001437749-14-000302
SEC(opens sec.gov)
Nov 214
1st Century Bancshares, Inc.0001437749-13-015144
SEC(opens sec.gov)
May 14
ROTHENBERG ALAN I0001437749-13-005023
SEC(opens sec.gov)
May 164
ROTHENBERG ALAN I0001437749-12-005154
SEC(opens sec.gov)
Nov 214
ROTHENBERG ALAN I0001179110-11-015488
SEC(opens sec.gov)

Companies

Address

1ST CENTURY BANK, N.A. 1875 CENTURY PARK EAST, SUITE 1450

LOS ANGELES, CA, 90067