Filing Details

Accession Number:
0001209191-15-075115
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2015-10-09 18:01:18
Reporting Period:
2015-10-05
Filing Date:
2015-10-09
Accepted Time:
2015-10-09 18:01:18
Original Submission Date:
2015-10-07
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
1626141 C David Holman C/O Cu Bancorp
15821 Ventura Blvd, Suite 100
Encino CA 91436
Yes No 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 2015-10-05 4,178 $7.59 136,012 No 4 M Direct
Common Stock Disposition 2015-10-05 2,570 $22.77 133,442 No 4 S Direct
Common Stock Acquisiton 2015-10-06 8,456 $7.59 141,898 No 4 M Direct
Common Stock Disposition 2015-10-06 5,201 $22.77 136,697 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M 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 2015-10-05 4,178 $0.00 92,187 $7.59
Common Stock Options to Purchase Common Stock Disposition 2015-10-06 8,456 $0.00 88,009 $7.59
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
88,009 2016-06-21 No 4 M Direct
79,553 2016-06-21 No 4 M Direct
Footnotes
  1. Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurance of certain events specified in the restricted stock grant.
  2. 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.
  3. The Reporting Person is submitting this amendment to Form 4 to correct the fact that on 10/05/2015 and 10/06/2015, respectively, the Reporting Peron exercised 1,608 and 3,255 more options and subsequently retained 1,608 and 3,255 more shares of common stock than was originally reported.
  4. Represents the aggregate of sales effected on the same day at different prices.
  5. 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 $22.74 to $22.85 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.
  6. 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 $22.50 to $22.85 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.
  7. As of filing date, the stock option grant is 100% vested and immediately exercisable.