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RBB Bancorp — Director's Dealing 2021
Feb 19, 2021
33248_dirs_2021-02-19_fe15a8df-81cf-4e83-9617-f140217f4ee7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RBB Bancorp (RBB)
CIK: 0001499422
Period of Report: 2021-02-17
Reporting Person: LIN CHUANG I (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-17 | Common Stock, No Par Value | M | 10763 | $11.1498 | Acquired | 35289 | Direct |
| 2021-02-18 | Common Stock, No Par Value | S | 10763 | $18.6775 | Disposed | 24526 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-17 | Option (right to buy) | $11.1498 | M | 10763 | Disposed | 2023-05-15 | Common Stock (10763) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 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 |
Footnotes
F1: Exercise of reporting person's stock options that would otherwise expire 05/15/2023, of which shares were sold to pay the exercise price, to cover withholding taxes, and to pay broker fees and commissions, pursuant to a broker-assisted cashless exercise and sale.
F2: Price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions, and the range of sale prices for the transactions reported was $18.52 to $18.79. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price.
F3: These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F4: These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F5: These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F6: These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.