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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

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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
August 31, 2018 Filed Sep 5, 2018 23:11 UTC
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-049664 · doc4.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,577

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 31, 2018 Filed Nov 9, 2018 16:45 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionOption (right to buy) · Derivative 150,000 $9.29 Strike: $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057874 · doc4a.xml · derivative · entry 5

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,011

Underlying: Common Stock · 232,010 shares

Expires 2018-11-04

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 11/04/2008 date of grant.

Read SEC document
August 31, 2018 Filed Nov 9, 2018 16:45 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionStock Options 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057874 · doc4a.xml · nonDerivative · entry 3

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,166

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 31, 2018 Filed Nov 9, 2018 16:45 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $28.70 $4,305,000.00
Disclosure

SEC source: 0001209191-18-057874 · doc4a.xml · nonDerivative · entry 2

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,577

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 31, 2018 Filed Nov 9, 2018 16:45 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057874 · doc4a.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,577

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 31, 2018 Filed Aug 19, 2020 00:27 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionOption (right to buy) · Derivative 150,000 $9.29 Strike: $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-20-047360 · doc4a.xml · derivative · entry 5

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,011

Underlying: Common Stock · 232,010 shares

Expires 2018-11-04

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 11/04/2008 date of grant.

Read SEC document
August 31, 2018 Filed Aug 19, 2020 00:27 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionStock Options 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-20-047360 · doc4a.xml · nonDerivative · entry 3

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,166

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 31, 2018 Filed Aug 19, 2020 00:27 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $28.70 $4,305,000.00
Disclosure

SEC source: 0001209191-20-047360 · doc4a.xml · nonDerivative · entry 2

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,577

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 31, 2018 Filed Aug 19, 2020 00:27 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-20-047360 · doc4a.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,577

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $11.15 Strike: $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · derivative · entry 9

Huang Pei Chin · CIK 0001711556 · 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.

F3 · 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
August 16, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $11.15 Strike: $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · derivative · entry 8

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,763 shares

Expires 2022-05-16

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.

F2 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.

Read SEC document
August 16, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $99,988.27
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · derivative · entry 7

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,763 shares

Expires 2021-05-18

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 05/18/2011 date of grant.

Read SEC document
August 16, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionStock Options 10,763 $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 6

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,250

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionStock Options 10,763 $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 5

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,013

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionStock Options 10,763 $9.29 $99,988.27
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 4

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,776

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 3

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,954

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $11.15 $120,005.30
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 2

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,191

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, 2018 Filed Aug 20, 2018 23:03 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $9.29 $99,988.27
Disclosure

SEC source: 0001209191-18-047686 · doc4.xml · nonDerivative · entry 1

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,428

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 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · derivative · entry 6

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,763 shares

Expires 2019-01-02

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.

F2 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · derivative · entry 5

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,763 shares

Expires 2018-11-18

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 11/18/2008 date of grant.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionStock Options 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · nonDerivative · entry 4

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,539

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 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionStock Options 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · nonDerivative · entry 3

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,302

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.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · nonDerivative · entry 2

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 586,581

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 14, 2018 Filed Aug 16, 2018 19:15 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-047002 · doc4.xml · nonDerivative · entry 1

Kao Ruey Chyr · CIK 0001711559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,818

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 04, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionOption (right to buy) · Derivative 4,000 $11.15 Strike: $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · derivative · entry 7

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 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 04, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionStock Options 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 6

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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 04, 2018 Filed Jun 4, 2018 20:52 UTC SaleCommon Stock, No Par Value 4,000 $29.27 $117,096.00
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 2

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,251

Read SEC document
June 04, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionCommon Stock, No Par Value 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,251

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 04, 2018 Filed Jun 25, 2018 18:43 UTC Amendment Exercise / conversionOption (right to buy) · Derivative 4,000 $11.15 Strike: $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-039379 · doc4a.xml · derivative · entry 4

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 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 04, 2018 Filed Jun 25, 2018 18:43 UTC Amendment Exercise / conversionStock Options 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-039379 · doc4a.xml · nonDerivative · entry 3

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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 04, 2018 Filed Jun 25, 2018 18:43 UTC Amendment SaleCommon Stock, No Par Value 4,000 $29.27 $117,096.00
Disclosure

SEC source: 0001209191-18-039379 · doc4a.xml · nonDerivative · entry 2

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,251

Read SEC document
June 04, 2018 Filed Jun 25, 2018 18:43 UTC Amendment Exercise / conversionCommon Stock, No Par Value 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-039379 · doc4a.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,251

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 04, 2018 Filed Nov 9, 2018 17:37 UTC Amendment Exercise / conversionOption (right to buy) · Derivative 4,000 $11.15 Strike: $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-057885 · doc4a.xml · derivative · entry 4

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 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 04, 2018 Filed Nov 9, 2018 17:37 UTC Amendment Exercise / conversionStock Options 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-057885 · doc4a.xml · nonDerivative · entry 3

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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 04, 2018 Filed Nov 9, 2018 17:37 UTC Amendment Exercise / conversionCommon Stock, No Par Value 4,000 $29.27 $117,096.00
Disclosure

SEC source: 0001209191-18-057885 · doc4a.xml · nonDerivative · entry 2

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,251

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 04, 2018 Filed Nov 9, 2018 17:37 UTC Amendment Exercise / conversionCommon Stock, No Par Value 4,000 $11.15 $44,600.00
Disclosure

SEC source: 0001209191-18-057885 · doc4a.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,251

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
May 31, 2018 Filed Jun 4, 2018 16:48 UTC
Thian Yee PhongPresident/CEO
Exercise / conversionOption (right to buy) · Derivative 150,000 $9.29 Strike: $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-034932 · doc4.xml · derivative · entry 4

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,010

Underlying: Common Stock · 382,010 shares

Expires 2018-11-04

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 11/04/2008 date of grant.

Read SEC document
May 31, 2018 Filed Jun 4, 2018 16:48 UTC
Thian Yee PhongPresident/CEO
Exercise / conversionStock Options 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-034932 · doc4.xml · nonDerivative · entry 3

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,166

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
May 31, 2018 Filed Jun 4, 2018 16:48 UTC
Thian Yee PhongPresident/CEO
SaleCommon Stock, No Par Value 150,000 $27.50 $4,125,000.00
Disclosure

SEC source: 0001209191-18-034932 · doc4.xml · nonDerivative · entry 2

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,577

Read SEC document
May 31, 2018 Filed Jun 4, 2018 16:48 UTC
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-034932 · doc4.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,577

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
May 31, 2018 Filed Nov 9, 2018 16:44 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionOption (right to buy) · Derivative 150,000 $9.29 Strike: $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057873 · doc4a.xml · derivative · entry 4

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,011

Underlying: Common Stock · 382,010 shares

Expires 2018-11-04

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 11/04/2008 date of grant.

Read SEC document
May 31, 2018 Filed Nov 9, 2018 16:44 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionStock Options 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057873 · doc4a.xml · nonDerivative · entry 3

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 474,166

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
May 31, 2018 Filed Nov 9, 2018 16:44 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $27.50 $4,125,000.00
Disclosure

SEC source: 0001209191-18-057873 · doc4a.xml · nonDerivative · entry 2

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,577

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
May 31, 2018 Filed Nov 9, 2018 16:44 UTC Amendment
Thian Yee PhongPresident/CEO
Exercise / conversionCommon Stock, No Par Value 150,000 $9.29 $1,393,725.00
Disclosure

SEC source: 0001209191-18-057873 · doc4a.xml · nonDerivative · entry 1

Thian Yee Phong · CIK 0001711496 · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,577

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
May 25, 2018 Filed Jun 4, 2018 20:38 UTC Exercise / conversionOption (right to buy) · Derivative 13,000 $11.15 Strike: $11.15 $144,950.00
Disclosure

SEC source: 0001209191-18-035133 · doc4.xml · derivative · entry 4

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,172

Underlying: Common Stock · 107,172 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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May 25, 2018 Filed Jun 4, 2018 20:38 UTC Exercise / conversionStock Options 13,000 $11.15 $144,950.00
Disclosure

SEC source: 0001209191-18-035133 · doc4.xml · nonDerivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,172

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
May 25, 2018 Filed Jun 4, 2018 20:38 UTC Exercise / conversionCommon Stock, No Par Value 13,000 $11.15 $144,950.00
Disclosure

SEC source: 0001209191-18-035133 · doc4.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,563

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.

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May 22, 2018 Filed May 23, 2018 21:52 UTC SaleStock Options 3,000 $29.22 $87,660.00
Disclosure

SEC source: 0001209191-18-032697 · doc4.xml · nonDerivative · entry 11

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,978

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May 22, 2018 Filed May 23, 2018 21:52 UTC SaleStock Options 2,000 $28.90 $57,800.00
Disclosure

SEC source: 0001209191-18-032697 · doc4.xml · nonDerivative · entry 10

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,978

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May 22, 2018 Filed May 24, 2018 16:03 UTC SaleCommon Stock, No Par Value 3,000 $29.22 $87,660.00
Disclosure

SEC source: 0001209191-18-032852 · doc4.xml · nonDerivative · entry 10

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,563

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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.