RBB Bancorp — Director's Dealing 2021

Aug 16, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: RBB Bancorp (RBB)
CIK: 0001499422
Period of Report: 2021-08-13

Reporting Person: Thian Yee Phong (President/CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-13	Common Stock, No Par Value	M	14475	—	Acquired	497302	Direct
2021-08-13	Restricted Stock Shares	M	14475	—	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-13	Restricted Stock Shares	$0	M	14475	Disposed		Restricted Stock (14475)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
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)	$17.0800	2025-05-20	Common Stock (10000)	10000	Direct
Option (right to buy)	$18.2500	2026-05-17	Common Stock (10000)	10000	Direct
Restricted Stock Shares	$0.0000		Restricted Stock (60000)	60000	Direct

Footnotes

F1: These shares represent the second vesting of the three equal annual installments beginning one year after the 08/15/2018 date of grant.

F2: 1/3 of this restricted stock grant vested on August 15, 2019, 1/3 of this restricted stock grant vested on August 15, 2020, and thereafter 1/3 of this restricted stock grant will vest on August 15, 2021.

F3: There will be no expiration date once restricted stock shares vest.

F4: These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.

F5: These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.

F6: These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.

F7: These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.

F8: These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.

F9: These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.

F10: These restricted stock vest in three equal annual installments beginning one year after the 01/21/2021 date of grant.