Filing Details
- Accession Number:
- 0001181431-13-046555
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-27 14:21:56
- Reporting Period:
- 2013-08-23
- Filing Date:
- 2013-08-27
- Accepted Time:
- 2013-08-27 14:21:56
- 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 | 2013-08-23 | 59 | $10.00 | 62,410 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-23 | 59 | $17.20 | 62,351 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-08-26 | 64 | $10.00 | 62,415 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-26 | 64 | $17.20 | 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 | 2013-08-23 | 59 | $0.00 | 0 | $10.00 |
| Common Stock | Options to purchase common stock | Disposition | 2013-08-26 | 64 | $0.00 | 0 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 197,599 | 2006-05-17 | 2015-05-17 | No | 4 | M | Direct |
| 197,535 | 2006-05-17 | 2015-05-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 31,500 | Indirect | IRA |
| Common Stock | 111,894 | Indirect | Trustee of the David and Anne Rainer Trust |
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 | 2007-04-26 | 2016-04-25 | 10,000 | 10,000 | Direct |
| Common Stock | Options to purchase common stock | $17.50 | 2008-02-27 | 2017-02-26 | 60,000 | 60,000 | Direct |
| Common Stock | Options to purchase common stock | $16.00 | 2008-09-25 | 2017-09-24 | 23,333 | 23,333 | Direct |
| Common Stock | Options to purchase common stock | $12.20 | 2011-04-27 | 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
- Exercise of 123 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, (a) all options are fully vested and exercisable and (b) a total of 21,215 stock options were exercised by the reporting person.
- Acquisition of 123 shares of common stock through exercise of stock options granted under the 2005 Stock Option Plan to the reporting person on May 17, 2005.
- Sale of 123 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.
- Stock options were granted to the reporting person on April 26, 2006. The options vested in four equal annual installments on each of April 26, 2007, 2008, 2009 and 2010, and as of the filing date are fully vested.
- Stock options were granted to the reporting person on February 27, 2007. The options vested in four equal annual installments on each of February 27, 2008, 2009, 2010 and 2011, and as of the filing date are fully vested.
- Stock options were granted to the reporting person on September 25, 2007. The options vested in four equal annual installments on each of September 25, 2008, 2009, 2010 and 2011, and as of the filing date are fully vested.
- 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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