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RBB Bancorp — Director's Dealing 2022
Apr 28, 2022
33248_dirs_2022-04-28_c61fa69c-a419-4cac-a268-efc27ae81d7e.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: 2022-04-26
Reporting Person: Thian Yee Phong (Former President/CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-04-26 | Restricted Stock Shares | D | 40000 | — | Disposed | 0 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, No Par Value | 517302 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 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 Shares (40000) | 0 | Direct | |
| Restricted Stock Units | $0.0000 | Restricted Stock Units (1000) | 0 | Direct | |
| Restricted Stock Units | $0.0000 | Restricted Stock Units (14037) | 0 | Direct | |
| Option (right to buy) | $11.1498 | 2022-05-16 | Common Stock (10763) | 10763 | Direct |
Footnotes
F1: There will be no expiration date once restricted stock shares vest.
F2: These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
F3: These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.
F4: These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F5: These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F6: These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F7: These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
F8: Represents forfeiture of restricted stock units that were originally granted on January 19, 2022.
F9: There will be no expiration date once restricted stock units vest.
F10: Represents forfeiture of 40,000 shares of restricted stock.