Filing Details

Accession Number:
0001209191-15-077094
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-10-28 14:34:55
Reporting Period:
2015-10-27
Filing Date:
2015-10-28
Accepted Time:
2015-10-28 14:34:55
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
1555463 A Anne Williams C/O Cu Bancorp 15821 Ventura Blvd.
Suite 100
Encino CA 91436
Evp, Cco & Coo No 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 2015-10-27 5,000 $22.00 122,330 No 4 M Direct
Common Stock Disposition 2015-10-27 5,000 $24.39 117,330 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2015-10-27 5,000 $22.00 5,000 $22.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-04-25 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options to Purchase Common Stock $12.20 2017-04-27 8,500 8,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-04-27 8,500 8,500 Direct
Footnotes
  1. The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 3, 2015.
  2. Include 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
  3. 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 $24.22 to $24.65 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.
  4. As of filing date, the stock option grant is 100% vested and immediately exercisable.