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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

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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
April 27, 2018 Filed May 1, 2018 19:17 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-027028 · doc4.xml · derivative · entry 3

Huang Pei Chin · CIK 0001711556 · 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.

F1 · 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
April 27, 2018 Filed May 1, 2018 19:17 UTC Exercise / conversionStock Options 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-027028 · doc4.xml · nonDerivative · entry 2

Huang Pei Chin · CIK 0001711556 · 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
April 27, 2018 Filed May 1, 2018 19:17 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-027028 · doc4.xml · nonDerivative · entry 1

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,665

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
April 05, 2018 Filed Apr 10, 2018 18:08 UTC Exercise / conversionOption (right to buy) · Derivative 13,906 $11.15 Strike: $11.15 $155,049.12
Disclosure

SEC source: 0001209191-18-024488 · doc4.xml · derivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,172

Underlying: Common Stock · 121,078 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
April 05, 2018 Filed Apr 10, 2018 18:08 UTC Exercise / conversionStock Options 13,906 $11.15 $155,049.12
Disclosure

SEC source: 0001209191-18-024488 · doc4.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,371

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
April 05, 2018 Filed Apr 10, 2018 18:08 UTC Exercise / conversionCommon Stock, No Par Value 13,906 $11.15 $155,049.12
Disclosure

SEC source: 0001209191-18-024488 · doc4.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,558

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
March 16, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionOption (right to buy) · Derivative 6,763 $11.15 Strike: $11.15 $75,406.10
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · derivative · entry 13

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 10,763 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.

F3 · 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
March 16, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionOption (right to buy) · Derivative 6,458 $9.29 Strike: $9.29 $60,004.51
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · derivative · entry 12

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,458 shares

Expires 2022-01-01

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.

F2 · derivative.exercise_date: These options vest in three equal annual installments beginning one year after the 01/01/2012 date of grant.

Read SEC document
March 16, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 6,763 $26.45 $178,894.88
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 10

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,251

Read SEC document
March 16, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 6,237 $26.45 $164,981.12
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 9

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,014

Read SEC document
March 16, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionCommon Stock, No Par Value 6,763 $11.15 $75,406.10
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 8

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,251

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
March 16, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionCommon Stock, No Par Value 6,458 $9.29 $60,004.51
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 7

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,488

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
March 16, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionStock Options 6,763 $11.15 $75,406.10
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 5

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

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
March 16, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionStock Options 6,458 $9.29 $60,004.51
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 4

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,763

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
March 09, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionOption (right to buy) · Derivative 21,525 $9.29 Strike: $9.29 $199,999.54
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · derivative · entry 11

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,525 shares

Expires 2019-04-21

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 04/21/2009 date of grant.

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 221 $26.46 $5,847.00
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 6

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,030

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 4,279 $26.46 $113,209.50
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 5

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,251

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 5,500 $26.45 $145,486.00
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 4

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,530

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 5,000 $26.46 $132,290.00
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 3

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,030

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC SaleCommon Stock, No Par Value 6,746 $26.47 $178,539.64
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 2

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,030

Read SEC document
March 09, 2018 Filed Mar 19, 2018 20:21 UTC Exercise / conversionCommon Stock, No Par Value 21,525 $9.29 $199,999.54
Disclosure

SEC source: 0001209191-18-020571 · doc4.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,776

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
March 09, 2018 Filed Jun 4, 2018 20:52 UTC Exercise / conversionStock Options 21,525 $9.29 $199,999.54
Disclosure

SEC source: 0001209191-18-035190 · doc4.xml · nonDerivative · entry 3

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,221

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
March 06, 2018 Filed Mar 6, 2018 13:22 UTC
Lin Ko-YenDirector
Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-017118 · doc4.xml · derivative · entry 2

Lin Ko-Yen · CIK 0001711531 · 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
March 06, 2018 Filed Mar 6, 2018 13:22 UTC
Lin Ko-YenDirector
Exercise / conversionCommon Stock, No Par Value 10,763 $23.00 $247,549.00
Disclosure

SEC source: 0001209191-18-017118 · doc4.xml · nonDerivative · entry 1

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,052

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
March 06, 2018 Filed Mar 6, 2018 19:33 UTC Exercise / conversionOption (right to buy) · Derivative 12,288 $9.29 Strike: $9.29 $114,173.95
Disclosure

SEC source: 0001209191-18-017146 · doc4.xml · derivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 818

Underlying: Common Stock · 13,105 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
March 06, 2018 Filed Mar 6, 2018 19:33 UTC Exercise / conversionStock Options 12,288 $9.29 $114,173.95
Disclosure

SEC source: 0001209191-18-017146 · doc4.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,277

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
March 06, 2018 Filed Mar 6, 2018 19:33 UTC Exercise / conversionCommon Stock, No Par Value 12,288 $23.00 $282,624.00
Disclosure

SEC source: 0001209191-18-017146 · doc4.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,652

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
March 06, 2018 Filed Oct 17, 2018 13:31 UTC
Lin Ko-YenDirector
Exercise / conversionStock Options 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-055284 · doc4.xml · nonDerivative · entry 2

Lin Ko-Yen · CIK 0001711531 · 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
March 01, 2018 Filed Mar 6, 2018 18:41 UTC Exercise / conversionOption (right to buy) · Derivative 10,763 $9.29 Strike: $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-017126 · doc4.xml · derivative · entry 3

Huang Pei Chin · CIK 0001711556 · 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
March 01, 2018 Filed Mar 6, 2018 18:41 UTC Exercise / conversionStock Options 10,763 $9.29 $100,004.41
Disclosure

SEC source: 0001209191-18-017126 · doc4.xml · nonDerivative · entry 2

Huang Pei Chin · CIK 0001711556 · 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
March 01, 2018 Filed Mar 6, 2018 18:41 UTC Exercise / conversionCommon Stock, No Par Value 10,763 $23.00 $247,549.00
Disclosure

SEC source: 0001209191-18-017126 · doc4.xml · nonDerivative · entry 1

Huang Pei Chin · CIK 0001711556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,902

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
February 16, 2018 Filed Feb 28, 2018 21:48 UTC Exercise / conversionOption (right to buy) · Derivative 5,381 $9.29 Strike: $9.29 $49,997.56
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · derivative · entry 6

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,381 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.

F2 · 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
February 16, 2018 Filed Feb 28, 2018 21:48 UTC Exercise / conversionOption (right to buy) · Derivative 104,906 $9.29 Strike: $9.29 $974,734.10
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · derivative · entry 5

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 104,906 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
February 16, 2018 Filed Feb 28, 2018 21:48 UTC Exercise / conversionStock Options 110,287 $9.29 $1,024,731.66
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · nonDerivative · entry 4

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,078

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
February 16, 2018 Filed Feb 28, 2018 21:48 UTC SaleCommon Stock, No Par Value 75,000 $26.39 $1,979,475.00
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · nonDerivative · entry 3

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,754

Read SEC document
February 16, 2018 Filed Feb 28, 2018 21:48 UTC SaleCommon Stock, No Par Value 35,287 $26.06 $919,438.07
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · nonDerivative · entry 2

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,754

Read SEC document
February 16, 2018 Filed Feb 28, 2018 21:48 UTC Exercise / conversionCommon Stock, No Par Value 110,287 $9.29 $1,024,731.66
Disclosure

SEC source: 0001209191-18-014557 · doc4.xml · nonDerivative · entry 1

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,041

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
February 16, 2018 Filed Feb 28, 2018 21:19 UTC Exercise / conversionOption (right to buy) · Derivative 107,900 $9.29 Strike: $9.29 $1,002,552.85
Disclosure

SEC source: 0001209191-18-014492 · doc4.xml · derivative · entry 4

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,106

Underlying: Common Stock · 121,006 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
February 16, 2018 Filed Feb 28, 2018 21:19 UTC Exercise / conversionStock Options 107,900 $9.29 $1,002,552.85
Disclosure

SEC source: 0001209191-18-014492 · doc4.xml · nonDerivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,565

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
February 16, 2018 Filed Feb 28, 2018 21:19 UTC SaleCommon Stock, No Par Value 107,900 $26.41 $2,849,887.17
Disclosure

SEC source: 0001209191-18-014492 · doc4.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,364

Read SEC document
February 16, 2018 Filed Feb 28, 2018 21:19 UTC Exercise / conversionCommon Stock, No Par Value 107,900 $9.29 $1,002,552.85
Disclosure

SEC source: 0001209191-18-014492 · doc4.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,264

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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionOption (right to buy) · Derivative 5,381 $9.29 Strike: $9.29 $49,997.56
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · derivative · entry 6

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,381 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.

F2 · 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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionOption (right to buy) · Derivative 104,906 $9.29 Strike: $9.29 $974,734.10
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · derivative · entry 5

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 104,906 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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionStock Options 110,287 $9.29 $1,024,731.66
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · nonDerivative · entry 4

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,078

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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionCommon Stock, No Par Value 75,000 $26.39 $1,979,475.00
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · nonDerivative · entry 3

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,754

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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionCommon Stock, No Par Value 35,287 $26.06 $919,438.07
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · nonDerivative · entry 2

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,754

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
February 16, 2018 Filed Nov 9, 2018 16:42 UTC Amendment Exercise / conversionCommon Stock, No Par Value 110,287 $9.29 $1,024,731.66
Disclosure

SEC source: 0001209191-18-057871 · doc4a.xml · nonDerivative · entry 1

Pang Simon · CIK 0001711564 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,041

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
February 16, 2018 Filed Nov 9, 2018 16:40 UTC Amendment Exercise / conversionOption (right to buy) · Derivative 107,900 $9.29 Strike: $9.29 $1,002,552.85
Disclosure

SEC source: 0001209191-18-057869 · doc4a.xml · derivative · entry 4

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,106

Underlying: Common Stock · 121,006 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.

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February 16, 2018 Filed Nov 9, 2018 16:40 UTC Amendment Exercise / conversionStock Options 107,900 $9.29 $1,002,552.85
Disclosure

SEC source: 0001209191-18-057869 · doc4a.xml · nonDerivative · entry 3

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,565

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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February 16, 2018 Filed Nov 9, 2018 16:40 UTC Amendment Exercise / conversionCommon Stock, No Par Value 107,900 $26.41 $2,849,887.17
Disclosure

SEC source: 0001209191-18-057869 · doc4a.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,364

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