Filing Details
- Accession Number:
- 0001209191-15-079581
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-12 12:50:50
- Reporting Period:
- 2015-11-10
- Filing Date:
- 2015-11-12
- Accepted Time:
- 2015-11-12 12:50:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1626135 | Brian K Horton | C/O Cu Bancorp 15821 Ventura Blvd, Suite 100 Encino CA 91436 | President | 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 | Disposition | 2015-11-10 | 6,725 | $26.50 | 70,444 | No | 4 | S | Indirect | By K Brian Horton, Trustee of the K Brian Horton Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By K Brian Horton, Trustee of the K Brian Horton Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | Disposition | 2015-10-15 | 6,749 | $0.00 | 59,150 | $7.59 |
| Common Stock | Options to Purchase Common Stock | Disposition | 2015-10-16 | 2,633 | $0.00 | 52,401 | $7.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 52,401 | 2016-06-21 | No | 4 | M | Direct | |
| 49,768 | 2015-06-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 57,660 | Direct | |
| Common Stock | 3,362 | Indirect | By Chester E Horton Jr. as Custodian for UTMA/CA for Christopher R. Horton |
Footnotes
- 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 $26.50 to $26.51 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.
- 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.
- As of filing date, the stock option grant is 100% vested and immediately exercisable.
Billionaire Hedge Funds
