Filing Details
- Accession Number:
- 0001181431-14-010045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-03 12:20:54
- Reporting Period:
- 2014-02-28
- Filing Date:
- 2014-03-03
- Accepted Time:
- 2014-03-03 12:20:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1543643 | Cu Bancorp | CUNB | National Commercial Banks (6021) | 900779788 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1555186 | I David Rainer | C/O Cu Bancorp 15821, Ventura Blvd. Suite 100 Encino CA 91436 | Chairman, President, Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-02-28 | 3,736 | $10.00 | 91,039 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-28 | 3,200 | $18.25 | 87,839 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-02-28 | 536 | $18.30 | 87,303 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | Disposition | 2014-02-28 | 3,736 | $0.00 | 31,782 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,046 | 2015-05-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 111,444 | Indirect | Trustee of the David and Anne Rainer Trust |
| Common Stock | 31,500 | Indirect | IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | $22.00 | 2016-04-25 | 10,000 | 10,000 | Direct | |
| Common Stock | Options to Purchase Common Stock | $17.50 | 2017-02-26 | 60,000 | 60,000 | Direct | |
| Common Stock | Options to Purchase Common Stock | $16.00 | 2017-09-24 | 23,333 | 23,333 | Direct | |
| Common Stock | Options to purchase common stock | $12.20 | 2017-04-27 | 10,000 | 10,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-04-25 | 10,000 | 10,000 | Direct |
| 2017-02-26 | 60,000 | 60,000 | Direct |
| 2017-09-24 | 23,333 | 23,333 | Direct |
| 2017-04-27 | 10,000 | 10,000 | Direct |
Footnotes
- The transactions reported in this filing were effected pursuant to Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2013.
- 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.
- As of filing date, the stock option grant is 100% vested and immediately exercisable.
- Stock options were granted to the Reporting Person on April 27, 2010. The options vested in five equal annual installments on each of April 27, 2011, 2012, 2013, 2014 and 2015.
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