Home > Insider Trading > Filing (0001181431-13-056588)

Filing Details

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 And Cco	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	2013-10-31	2,239	$10.00	107,784	No	4	M	Direct
Common Stock	Disposition	2013-10-31	2,239	$18.81	105,545	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	2013-10-31	2,239	$0.00	62,500	$10.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
60,261	2006-05-17	2015-05-16	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	$22.00	2007-04-26	2016-04-25	5,000	5,000	Direct
Common Stock	Options to Purchase Common Stock	$12.20	2011-04-27	2017-04-27	8,500	8,500	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2016-04-25	5,000	5,000	Direct
2017-04-27	8,500	8,500	Direct

Footnotes

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.
The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 13, 2013.
Represents the aggregate of sales effected on the same day at different prices.
Represents the weighted average sales price per share. The shares were sold at prices ranging from $18.70 to $19.01 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission.
62,500 stock options were granted under the 2005 Stock Option Plan to the Reporting Person on May 17, 2005. The options vested in four equal annual installments on each of May 17, 2006, 2007, 2008 and 2009, and are fully vested and exercisable. As of the date of this report, a total of 2,239 stock options were exercised by the Reporting Person.
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 and 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.