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Filing Details

Accession Number:: 0001181431-13-056983
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-05 18:00:39
Reporting Period:: 2013-11-01

Filing Date:: 2013-11-05
Accepted Time:: 2013-11-05 18:00:39
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-11-01	103,633	$10.00	181,984	No	4	M	Direct
Common Stock	Disposition	2013-11-01	103,437	$18.50	78,547	No	4	S	Direct
Common Stock	Disposition	2013-11-01	2	$18.53	78,545	No	4	S	Direct
Common Stock	Disposition	2013-11-01	49	$18.54	78,496	No	4	S	Direct
Common Stock	Disposition	2013-11-01	145	$18.55	78,351	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Options to Purchase Common Stock	Disposition	2013-11-01	103,633	$0.00	191,977	$10.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
88,344		2015-05-16	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	111,444	Indirect	Trustee of the David and Anne Rainer Trust
Common Stock	31,500	Indirect	IRA

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Options to purchase common stock	$22.00	2016-04-25	10,000	10,000	Direct
Common Stock	Options to purchase common stock	$17.50	2017-02-26	60,000	60,000	Direct
Common Stock	Options to purchase common stock	$16.00	2017-09-24	23,333	23,333	Direct
Common Stock	Options to purchase common stock	$12.20	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

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 16, 2013.
218,750 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 130,406 stock options were exercised by the Reporting Person including transactions above.
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 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 and exercisable.
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 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.