Filing Details
- Accession Number:
- 0001181431-13-045755
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-20 19:00:00
- Reporting Period:
- 2013-08-19
- Filing Date:
- 2013-08-20
- Accepted Time:
- 2013-08-20 19:00:00
- 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 | 2013-08-19 | 11,170 | $10.00 | 73,521 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-19 | 11,170 | $17.34 | 62,351 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-20 | 7,108 | $10.00 | 69,459 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-20 | 7,108 | $17.32 | 62,351 | 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 | 2013-08-19 | 11,170 | $0.00 | 0 | $10.00 |
| Common Stock | Options to purchase common stock | Disposition | 2013-08-20 | 7,108 | $0.00 | 0 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 206,882 | 2006-05-17 | 2015-05-17 | No | 4 | M | Direct |
| 199,774 | 2006-05-17 | 2015-05-17 | No | 4 | M | Direct |
Footnotes
- Exercise of 11,170 and 7,108 stock options from the 218,750 total shares granted under the 2005 Stock Option Plan to the reporting person on May 17, 2005. As of the date of this report, all options are fully vested and exercisable. 698 stock options were exercised on August 16, 2013.
- Acquisitions of 11,170 and 7,108 shares of common stock through exercise of stock options granted under the 2005 Stock Option Plan to the reporting person on May 17, 2005.
- Sales of 11,170 and 7,108 shares of common stock acquired through the exercise of stock options granted under the 2005 Stock Option Plan to the reporting person on May 17, 2005
- 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.
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