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Nasdaq · USD

RBB

RBB Bancorp

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Tapewire entity
5572
SEC CIK
0001499422
Parsed reports
500

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202603
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 18, 2023 Filed Jan 21, 2023 01:45 UTC
Chen WendellDirector
Exercise / conversionCommon Stock, No Par Value 700 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001495 · rdgdoc.xml · nonDerivative · entry 1

Chen Wendell · CIK 0001711604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,171

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 18, 2023 Filed Jun 12, 2023 18:24 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017150 · rdgdoc.xml · derivative · entry 8

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600

Underlying: Restricted Stock Units · 1,200 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: These restricted stock units vest in two installments: 600 at 01/18/2023 and 600 at 01/18/2024.

F6 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2023 Filed Jun 12, 2023 18:24 UTC Amendment Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017150 · rdgdoc.xml · nonDerivative · entry 1

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,528

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 18, 2023 Filed Nov 10, 2023 00:20 UTC Amendment
Kao JamesDirector
Exercise / conversionRestricted Stock Units · Derivative 800 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-031326 · rdgdoc.xml · derivative · entry 4

Kao James · CIK 0001711522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600

Underlying: Restricted Stock Units · 1,400 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: These restricted stock units vest in two installments: 800 on 01/18/2023 and 600 at 01/18/2024.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2023 Filed Nov 10, 2023 00:20 UTC Amendment
Kao JamesDirector
Exercise / conversionCommon Stock, No Par Value 800 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-031326 · rdgdoc.xml · nonDerivative · entry 1

Kao James · CIK 0001711522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,276

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 28, 2022 Filed Nov 30, 2022 21:10 UTC GiftCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-028192 · rdgdoc.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,751

Read SEC document
September 22, 2022 Filed Sep 23, 2022 23:59 UTC
Chen WendellDirector
Exercise / conversionOption (right to buy) · Derivative 10,763 $11.15 Strike: $11.15 $119,996.69
Disclosure

SEC source: 0001437749-22-022999 · rdgdoc.xml · derivative · entry 2

Chen Wendell · CIK 0001711604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,763 shares

Expires 2023-05-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.

Read SEC document
September 22, 2022 Filed Sep 23, 2022 23:59 UTC
Chen WendellDirector
Exercise / conversionCommon Stock, No Par Value 10,763 $11.15 $120,005.30
Disclosure

SEC source: 0001437749-22-022999 · rdgdoc.xml · nonDerivative · entry 1

Chen Wendell · CIK 0001711604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,471

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 16, 2022 Filed Aug 17, 2022 01:45 UTC SaleCommon Stock, No Par Value 2,000 $23.38 $46,760.00
Disclosure

SEC source: 0001437749-22-020774 · rdgdoc.xml · nonDerivative · entry 2

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,158

Read SEC document
August 16, 2022 Filed Aug 17, 2022 01:37 UTC SaleCommon Stock, No Par Value 2,000 $23.35 $46,700.00
Disclosure

SEC source: 0001437749-22-020772 · rdgdoc.xml · nonDerivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
August 15, 2022 Filed Aug 17, 2022 01:45 UTC SaleCommon Stock, No Par Value 3,000 $22.98 $68,940.00
Disclosure

SEC source: 0001437749-22-020774 · rdgdoc.xml · nonDerivative · entry 1

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,158

Read SEC document
August 15, 2022 Filed Aug 17, 2022 01:37 UTC SaleCommon Stock, No Par Value 2,000 $23.15 $46,300.00
Disclosure

SEC source: 0001437749-22-020772 · rdgdoc.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Read SEC document
August 15, 2022 Filed Aug 17, 2022 01:37 UTC SaleCommon Stock, No Par Value 2,553 $22.95 $58,591.35
Disclosure

SEC source: 0001437749-22-020772 · rdgdoc.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Read SEC document
August 11, 2022 Filed Aug 11, 2022 23:29 UTC SaleCommon Stock, No Par Value 2 $22.48 $44.96
Disclosure

SEC source: 0001437749-22-020207 · rdgdoc.xml · nonDerivative · entry 2

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,158

Read SEC document
August 11, 2022 Filed Aug 11, 2022 23:29 UTC SaleCommon Stock, No Par Value 2,998 $22.46 $67,335.08
Disclosure

SEC source: 0001437749-22-020207 · rdgdoc.xml · nonDerivative · entry 1

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,160

Read SEC document
August 01, 2022 Filed Aug 2, 2022 22:27 UTC SaleCommon Stock, No Par Value 19 $22.95 $436.05
Disclosure

SEC source: 0001437749-22-018502 · rdgdoc.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,553

Read SEC document
August 01, 2022 Filed Aug 2, 2022 22:27 UTC SaleCommon Stock, No Par Value 2,000 $22.80 $45,600.00
Disclosure

SEC source: 0001437749-22-018502 · rdgdoc.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,572

Read SEC document
July 29, 2022 Filed Jul 30, 2022 00:48 UTC SaleCommon Stock, No Par Value 1,313 $22.56 $29,621.28
Disclosure

SEC source: 0001437749-22-018173 · rdgdoc.xml · nonDerivative · entry 5

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,572

Read SEC document
July 29, 2022 Filed Jul 30, 2022 00:48 UTC SaleCommon Stock, No Par Value 300 $22.57 $6,771.00
Disclosure

SEC source: 0001437749-22-018173 · rdgdoc.xml · nonDerivative · entry 4

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,885

Read SEC document
July 29, 2022 Filed Jul 30, 2022 00:48 UTC SaleCommon Stock, No Par Value 265 $22.58 $5,983.70
Disclosure

SEC source: 0001437749-22-018173 · rdgdoc.xml · nonDerivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,185

Read SEC document
July 29, 2022 Filed Jul 30, 2022 00:48 UTC SaleCommon Stock, No Par Value 1,000 $22.72 $22,720.00
Disclosure

SEC source: 0001437749-22-018173 · rdgdoc.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,450

Read SEC document
July 29, 2022 Filed Jul 30, 2022 00:48 UTC SaleCommon Stock, No Par Value 122 $22.65 $2,763.30
Disclosure

SEC source: 0001437749-22-018173 · rdgdoc.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,450

Read SEC document
July 21, 2022 Filed Jul 22, 2022 21:30 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 550 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017641 · rdgdoc.xml · derivative · entry 5

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,050 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: These restricted stock units vest in two installments: 550 at 07/21/2022 and 500 at 01/19/2023.

F5 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 22, 2022 21:30 UTC Amendment Exercise / conversionCommon Stock, No Par Value 550 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017641 · rdgdoc.xml · nonDerivative · entry 1

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,490

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 22, 2022 21:47 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017645 · rdgdoc.xml · derivative · entry 6

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,100 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: These restricted stock units vest in two installments: 600 at 07/21/2022 and 500 at 01/19/2023.

F6 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 22, 2022 21:47 UTC Amendment Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017645 · rdgdoc.xml · nonDerivative · entry 1

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,928

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:58 UTC Amendment
Kao JamesDirector
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017649 · rdgdoc.xml · derivative · entry 2

Kao James · CIK 0001711522 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,100 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These restricted stock units vest in two installments: 600 at 07/21/2022 and 500 at 01/19/2023.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:58 UTC Amendment
Kao JamesDirector
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017649 · rdgdoc.xml · nonDerivative · entry 1

Kao James · CIK 0001711522 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,476

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:52 UTC Amendment
Lin FengDirector
Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017647 · rdgdoc.xml · derivative · entry 6

Lin Feng · CIK 0001711516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: These restricted stock units vest in two installments: 500 at 07/21/2022 and 500 at 01/19/2023.

F6 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:52 UTC Amendment
Lin FengDirector
Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017647 · rdgdoc.xml · nonDerivative · entry 1

Lin Feng · CIK 0001711516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:36 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017643 · rdgdoc.xml · derivative · entry 2

Kao Christina · CIK 0001778913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These restricted stock units vest in two installments: 500 at 07/21/2022 and 500 at 01/19/2023.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:36 UTC Amendment Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017643 · rdgdoc.xml · nonDerivative · entry 1

Kao Christina · CIK 0001778913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,563

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:24 UTC Amendment
Chen WendellDirector
Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017639 · rdgdoc.xml · derivative · entry 6

Chen Wendell · CIK 0001711604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: These restricted stock units vest in two installments: 500 at 07/21/2022 and 500 at 01/19/2023.

F6 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:24 UTC Amendment
Chen WendellDirector
Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017639 · rdgdoc.xml · nonDerivative · entry 1

Chen Wendell · CIK 0001711604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,708

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:19 UTC Amendment
LIN CHUANG IDirector
Exercise / conversionRestricted Stock Units · Derivative 550 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017637 · rdgdoc.xml · derivative · entry 5

LIN CHUANG I · CIK 0001185981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,050 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: These restricted stock units vest in two installments: 550 at 07/21/2022 and 500 at 01/19/2023.

F5 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 23, 2022 01:19 UTC Amendment
LIN CHUANG IDirector
Exercise / conversionCommon Stock, No Par Value 550 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017637 · rdgdoc.xml · nonDerivative · entry 1

LIN CHUANG I · CIK 0001185981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,076

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 12:34 UTC Amendment
Lin Ko-YenDirector
Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017676 · rdgdoc.xml · derivative · entry 2

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These restricted stock units vest in two installments: 500 at 07/21/2022 and 500 at 01/19/2023.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 12:34 UTC Amendment
Lin Ko-YenDirector
Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017676 · rdgdoc.xml · nonDerivative · entry 1

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,091

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 16:29 UTC Amendment Exercise / conversionRestricted Stock Units · Derivative 550 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017672 · rdgdoc.xml · derivative · entry 2

Chang Peter M · CIK 0001711680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,050 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These restricted stock units vest in two installments: 550 at 07/21/2022 and 500 at 01/19/2023.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 16:29 UTC Amendment Exercise / conversionCommon Stock, No Par Value 550 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017672 · rdgdoc.xml · nonDerivative · entry 1

Chang Peter M · CIK 0001711680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 611,267

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 16:32 UTC Amendment
Lin PaulDirector
Exercise / conversionRestricted Stock Units · Derivative 550 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017674 · rdgdoc.xml · derivative · entry 6

Lin Paul · CIK 0001711554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Restricted Stock Units · 1,050 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: These restricted stock units vest in two installments: 550 at 07/21/2022 and 500 at 01/19/2023.

F6 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 21, 2022 Filed Jul 25, 2022 16:32 UTC Amendment
Lin PaulDirector
Exercise / conversionCommon Stock, No Par Value 550 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017674 · rdgdoc.xml · nonDerivative · entry 1

Lin Paul · CIK 0001711554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 11, 2022 Filed Jul 12, 2022 20:24 UTC
Yu Raymond HDirector
Exercise / conversionRestricted Stock Units · Derivative 1,050 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017003 · rdgdoc.xml · derivative · entry 2

Yu Raymond H · CIK 0001757583 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 1,050 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These restricted stock units vest in two equal annual installments beginning one year after the 01/19/2022 date of grant.

F2 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
July 11, 2022 Filed Jul 12, 2022 20:24 UTC
Yu Raymond HDirector
Exercise / conversionCommon Stock, No Par Value 1,050 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-017003 · rdgdoc.xml · nonDerivative · entry 1

Yu Raymond H · CIK 0001757583 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,622

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 16, 2022 Filed Jun 18, 2022 00:00 UTC
Thian Yee PhongFormer President/CEO
Exercise / conversionOption (right to buy) · Derivative 38,763 $11.15 Strike: $11.15 $432,199.70
Disclosure

SEC source: 0001437749-22-015340 · rdgdoc.xml · derivative · entry 5

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,156

Underlying: Common Stock · 204,919 shares

Expires 2023-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.

Read SEC document
June 16, 2022 Filed Jun 18, 2022 00:00 UTC
Thian Yee PhongFormer President/CEO
SaleCommon Stock, No Par Value 27,000 $20.24 $546,463.80
Disclosure

SEC source: 0001437749-22-015340 · rdgdoc.xml · nonDerivative · entry 4

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,302

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June 16, 2022 Filed Jun 18, 2022 00:00 UTC
Thian Yee PhongFormer President/CEO
Exercise / conversionCommon Stock, No Par Value 27,000 $11.15 $301,044.60
Disclosure

SEC source: 0001437749-22-015340 · rdgdoc.xml · nonDerivative · entry 3

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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June 16, 2022 Filed Jun 18, 2022 00:00 UTC
Thian Yee PhongFormer President/CEO
SaleCommon Stock, No Par Value 11,763 $20.25 $238,210.16
Disclosure

SEC source: 0001437749-22-015340 · rdgdoc.xml · nonDerivative · entry 2

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,302

Read SEC document
June 16, 2022 Filed Jun 18, 2022 00:00 UTC
Thian Yee PhongFormer President/CEO
Exercise / conversionCommon Stock, No Par Value 11,763 $11.15 $131,155.10
Disclosure

SEC source: 0001437749-22-015340 · rdgdoc.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,065

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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June 14, 2022 Filed Jun 17, 2022 00:29 UTC
Thian Yee PhongFormer President/CEO
Exercise / conversionOption (right to buy) · Derivative 13,237 $11.15 Strike: $11.15 $147,589.90
Disclosure

SEC source: 0001437749-22-015217 · rdgdoc.xml · derivative · entry 3

Thian Yee Phong · CIK 0001711496 · Former President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,919

Underlying: Common Stock · 218,156 shares

Expires 2023-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.