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RBB Bancorp — Director's Dealing 2018
Nov 9, 2018
33248_dirs_2018-11-09_af2ff3e2-4fbb-419f-8d9c-b7a4b20ce2fc.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: RBB Bancorp (RBB)
CIK: 0001499422
Period of Report: 2018-11-01
Reporting Person: Thian Yee Phong (President/CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-11-01 | Common Stock, No Par Value | M | 103537 | $9.2915 | Acquired | 435114 | Direct |
| 2018-11-01 | Stock Options | M | 103537 | $9.2915 | Disposed | 220629 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-11-01 | Option (right to buy) | $9.2915 | M | 82011 | Disposed | 2018-11-04 | Common Stock (82011) | Direct |
| 2018-11-01 | Option (right to buy) | $9.2915 | M | 10763 | Disposed | 2018-11-18 | Common Stock (10763) | Direct |
| 2018-11-01 | Option (right to buy) | $9.2915 | M | 10763 | Disposed | 2019-01-02 | Common Stock (10763) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Restricted Stock Shares | 43425 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Option (right to buy) | $9.2915 | 2021-05-18 | Common Stock (10763) | 10763 | Direct |
| Option (right to buy) | $11.1498 | 2022-05-16 | Common Stock (10763) | 10763 | Direct |
| Option (right to buy) | $11.1498 | 2023-01-01 | Common Stock (242156) | 242156 | Direct |
| Option (right to buy) | $11.1498 | 2023-05-15 | Common Stock (10763) | 10763 | Direct |
| Option (right to buy) | $13.2098 | 2024-05-21 | Common Stock (10250) | 10250 | Direct |
| Option (right to buy) | $17.08 | 2025-05-20 | Common Stock (10000) | 10000 | Direct |
| Option (right to buy) | $18.25 | 2026-05-17 | Common Stock (10000) | 10000 | Direct |
| Restricted Stock Shares | $29.38 | Restricted Stock (43425) | 43425 | Direct |
Footnotes
F1: These options vest in three equal annual installments beginning one year after the 11/04/2008 date of grant.
F2: These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.
F3: These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.
F4: These options vest in three equal annual installments beginning one year after the 05/18/2011 date of grant.
F5: These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
F6: These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.
F7: These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F8: These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F9: These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F10: These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
F11: These restricted stock vest in three equal annual installments beginning one year after the 08/15/2018 date of grant.
F12: There will be no expiration date once restricted stock shares vest.