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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, 2024 Filed Jan 20, 2024 01:26 UTC
LIN CHUANG IDirector
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001769 · rdgdoc.xml · nonDerivative · entry 1

LIN CHUANG I · CIK 0001185981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,976

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, 2024 Filed Jan 20, 2024 01:22 UTC Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001767 · rdgdoc.xml · derivative · entry 2

Kao Christina · CIK 0001778913 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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.

F2 · derivative.exercise_date: These restricted stock units vest in two installments: 800 on 01/18/2023 and 600 on 01/18/2024.

F1 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2024 Filed Jan 20, 2024 01:22 UTC Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001767 · rdgdoc.xml · nonDerivative · entry 1

Kao Christina · CIK 0001778913 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,463

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, 2024 Filed Jan 20, 2024 01:17 UTC
Kao JamesDirector
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001764 · rdgdoc.xml · derivative · entry 2

Kao James · CIK 0001711522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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.

F2 · derivative.exercise_date: These restricted stock units vest in two installments: 800 on 01/18/2023 and 600 at 01/18/2024.

F1 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2024 Filed Jan 20, 2024 01:17 UTC
Kao JamesDirector
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001764 · rdgdoc.xml · nonDerivative · entry 1

Kao James · CIK 0001711522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 448,376

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, 2024 Filed Jan 22, 2024 17:05 UTC
Morris David RichardDirector · CEO
Exercise / conversionRestricted Stock Units · Derivative 2,603 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001816 · rdgdoc.xml · derivative · entry 7

Morris David Richard · CIK 0001711919 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,204

Underlying: Restricted Stock Units · 7,807 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 three equal installments beginning one year after 01/18/2023 date of grant.

F3 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:05 UTC
Morris David RichardDirector · CEO
Tax withholdingCommon Stock, No Par Value 1,354 $17.63 $23,871.02
Disclosure

SEC source: 0001437749-24-001816 · rdgdoc.xml · nonDerivative · entry 2

Morris David Richard · CIK 0001711919 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,317

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:05 UTC
Morris David RichardDirector · CEO
Exercise / conversionCommon Stock, No Par Value 2,603 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001816 · rdgdoc.xml · nonDerivative · entry 1

Morris David Richard · CIK 0001711919 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,671

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, 2024 Filed Jan 22, 2024 17:16 UTC Exercise / conversionRestricted Stock Units · Derivative 575 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001824 · rdgdoc.xml · derivative · entry 7

Chang Ashley · CIK 0001843850 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,150

Underlying: Restricted Stock Units · 1,725 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 three equal annual installments beginning one year after the 01/18/2023 date of grant.

F4 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:16 UTC Tax withholdingCommon Stock, No Par Value 184 $17.63 $3,243.92
Disclosure

SEC source: 0001437749-24-001824 · rdgdoc.xml · nonDerivative · entry 2

Chang Ashley · CIK 0001843850 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 790

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:16 UTC Exercise / conversionCommon Stock, No Par Value 575 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001824 · rdgdoc.xml · nonDerivative · entry 1

Chang Ashley · CIK 0001843850 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 974

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, 2024 Filed Jan 22, 2024 17:14 UTC Exercise / conversionRestricted Stock Units · Derivative 660 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001822 · rdgdoc.xml · derivative · entry 5

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,319

Underlying: Restricted Stock Units · 1,979 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 three equal annual installments beginning one year after the 01/18/2023 date of grant.

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

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:14 UTC Tax withholdingCommon Stock, No Par Value 245 $17.63 $4,319.35
Disclosure

SEC source: 0001437749-24-001822 · rdgdoc.xml · nonDerivative · entry 2

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 218,565

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:14 UTC Exercise / conversionCommon Stock, No Par Value 660 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001822 · rdgdoc.xml · nonDerivative · entry 1

Huang Tsu Te · CIK 0001711566 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 218,810

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, 2024 Filed Jan 22, 2024 17:13 UTC Exercise / conversionRestricted Stock Units · Derivative 842 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001820 · rdgdoc.xml · derivative · entry 5

Yeh Jeffrey · CIK 0001711532 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,684

Underlying: Restricted Stock Units · 2,526 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.

F2 · derivative.exercise_date: These restricted stock units vest in three equal annual installments beginning one year after the 01/18/2023 date of grant.

F1 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:13 UTC Tax withholdingCommon Stock, No Par Value 304 $17.63 $5,359.52
Disclosure

SEC source: 0001437749-24-001820 · rdgdoc.xml · nonDerivative · entry 2

Yeh Jeffrey · CIK 0001711532 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,068

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:13 UTC Exercise / conversionCommon Stock, No Par Value 842 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001820 · rdgdoc.xml · nonDerivative · entry 1

Yeh Jeffrey · CIK 0001711532 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,372

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, 2024 Filed Jan 22, 2024 17:06 UTC Exercise / conversionRestricted Stock Units · Derivative 1,204 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001818 · rdgdoc.xml · derivative · entry 5

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,407

Underlying: Restricted Stock Units · 3,611 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 three equal annual installments beginning one year after the 01/18/2023 date of grant.

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

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:06 UTC Tax withholdingCommon Stock, No Par Value 470 $17.63 $8,286.10
Disclosure

SEC source: 0001437749-24-001818 · rdgdoc.xml · nonDerivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,501

Read SEC document
January 18, 2024 Filed Jan 22, 2024 17:06 UTC Exercise / conversionCommon Stock, No Par Value 1,204 $0.00 $0.00
Disclosure

SEC source: 0001437749-24-001818 · rdgdoc.xml · nonDerivative · entry 1

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,971

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
December 14, 2023 Filed Dec 16, 2023 00:01 UTC PurchaseCommon Stock, No Par Value 5,000 $18.82 $94,099.50
Disclosure

SEC source: 0001437749-23-034612 · rdgdoc.xml · nonDerivative · entry 1

Wong Lee Joyce · CIK 0001933781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,036

Read SEC document
December 08, 2023 Filed Dec 22, 2023 23:42 UTC
Ko AlexEVP/Chief Financial Officer
OtherOptions (right to buy) · Derivative 30,000 $19.87 Strike: $19.87 $596,100.00
Disclosure

SEC source: 0001437749-23-035281 · rdgdoc.xml · derivative · entry 1

Ko Alex · CIK 0001442518 · EVP/Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Stock Options · 30,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: These options vest in five equal installments beginning one year after the 3/01/2023 the grant date.

Read SEC document
November 08, 2023 Filed Nov 10, 2023 00:25 UTC
Kao JamesDirector
PurchaseCommon Stock, No Par Value 2,000 $13.28 $26,560.00
Disclosure

SEC source: 0001437749-23-031328 · rdgdoc.xml · nonDerivative · entry 1

Kao James · CIK 0001711522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 447,776

Read SEC document
November 06, 2023 Filed Nov 7, 2023 22:27 UTC Amendment PurchaseCommon Stock 7,412 $13.52 $100,210.24
Disclosure

SEC source: 0001437749-23-030698 · rdgdoc.xml · nonDerivative · entry 1

Polakoff Scott · CIK 0001975585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,412

Read SEC document
November 06, 2023 Filed Nov 7, 2023 20:07 UTC PurchaseCommon Stock 7,412 $13.52 $100,210.24
Disclosure

SEC source: 0001437749-23-030618 · rdgdoc.xml · nonDerivative · entry 2

Polakoff Scott · CIK 0001975585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,412

Read SEC document
November 06, 2023 Filed Nov 7, 2023 20:07 UTC PurchaseCommon Stock, No Par Value 500 $13.59 $6,794.95
Disclosure

SEC source: 0001437749-23-030618 · rdgdoc.xml · nonDerivative · entry 1

Polakoff Scott · CIK 0001975585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
November 06, 2023 Filed Nov 7, 2023 19:46 UTC PurchaseCommon Stock, No Par Value 500 $13.59 $6,794.95
Disclosure

SEC source: 0001437749-23-030606 · rdgdoc.xml · nonDerivative · entry 1

Franko Robert · CIK 0001736701 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
June 09, 2023 Filed Jun 12, 2023 18:45 UTC Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017153 · rdgdoc.xml · derivative · entry 5

Koo Chie-Min Christopher · CIK 0001711528 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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 01/18/2023 and 600 at 01/18/2024.

F4 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
June 09, 2023 Filed Jun 12, 2023 18:45 UTC Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017153 · rdgdoc.xml · nonDerivative · entry 1

Koo Chie-Min Christopher · CIK 0001711528 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,628

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 09, 2023 Filed Jun 13, 2023 00:17 UTC
Lin FengDirector
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017165 · rdgdoc.xml · derivative · entry 6

Lin Feng · CIK 0001711516 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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.

F6 · derivative.exercise_date: These restricted stock units vest in two installments: 700 at 01/18/2023 and 600 at 01/18/2024.

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

Read SEC document
June 09, 2023 Filed Jun 13, 2023 00:17 UTC
Lin FengDirector
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017165 · rdgdoc.xml · nonDerivative · entry 1

Lin Feng · CIK 0001711516 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 485,425

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 09, 2023 Filed Jun 13, 2023 00:15 UTC
Chen WendellFormer Director
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017163 · rdgdoc.xml · derivative · entry 5

Chen Wendell · CIK 0001711604 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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: 700 at 01/18/2023 and 600 at 01/18/2024.

F4 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 00:15 UTC
Chen WendellFormer Director
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017163 · rdgdoc.xml · nonDerivative · entry 1

Chen Wendell · CIK 0001711604 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,271

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 09, 2023 Filed Jun 13, 2023 00:12 UTC
Lin PaulFormer Director
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017161 · rdgdoc.xml · derivative · entry 6

Lin Paul · CIK 0001711554 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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.

F6 · derivative.exercise_date: These restricted stock units vest in two installments: 800 at 01/18/2023 and 600 at 01/18/2024.

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

Read SEC document
June 09, 2023 Filed Jun 13, 2023 00:12 UTC
Lin PaulFormer Director
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-017161 · rdgdoc.xml · nonDerivative · entry 1

Lin Paul · CIK 0001711554 · Former Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,450

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 22, 2023 Filed Mar 24, 2023 20:40 UTC Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-007923 · rdgdoc.xml · derivative · entry 5

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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: 800 at 01/18/2023 and 600 at 01/18/2024.

F4 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
March 22, 2023 Filed Mar 24, 2023 20:40 UTC Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-007923 · rdgdoc.xml · nonDerivative · entry 1

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,390

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 22, 2023 Filed Mar 24, 2023 19:46 UTC
Lin Ko-YenDirector
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-007917 · rdgdoc.xml · derivative · entry 2

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 600 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.

F2 · derivative.exercise_date: These restricted stock units vest in two installments: 600 at 01/18/2023 and 600 at 01/18/2024.

F1 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

Read SEC document
March 22, 2023 Filed Mar 24, 2023 19:46 UTC
Lin Ko-YenDirector
Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-007917 · rdgdoc.xml · nonDerivative · entry 1

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,791

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 19, 2023 Filed Jan 20, 2023 21:05 UTC Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001514 · rdgdoc.xml · derivative · entry 6

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 500 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
January 19, 2023 Filed Jan 20, 2023 21:05 UTC Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001514 · rdgdoc.xml · nonDerivative · entry 2

Thian Fui Ming · CIK 0001711520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,790

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 19, 2023 Filed Jan 20, 2023 20:50 UTC Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001503 · rdgdoc.xml · derivative · entry 7

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 500 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
January 19, 2023 Filed Jan 20, 2023 20:50 UTC Exercise / conversionCommon Stock, No Par Value 600 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001503 · rdgdoc.xml · nonDerivative · entry 2

Koo Chie-Min Christopher · CIK 0001711528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,128

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 19, 2023 Filed Jan 20, 2023 20:52 UTC
Lin Ko-YenDirector
Exercise / conversionRestricted Stock Units · Derivative 500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001507 · rdgdoc.xml · derivative · entry 3

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 500 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.

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January 19, 2023 Filed Jan 20, 2023 20:52 UTC
Lin Ko-YenDirector
Exercise / conversionCommon Stock, No Par Value 500 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001507 · rdgdoc.xml · nonDerivative · entry 2

Lin Ko-Yen · CIK 0001711531 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,191

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.

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January 19, 2023 Filed Jan 21, 2023 02:52 UTC
Morris David RichardDirector · President/CEO/ CFO
Exercise / conversionRestricted Stock Units · Derivative 767 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001528 · rdgdoc.xml · derivative · entry 4

Morris David Richard · CIK 0001711919 · Director · President/CEO/ CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,534

Underlying: Restricted Stock Units · 2,301 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 three equal annual installments beginning one year after the 01/19/2022 date of grant.

F4 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

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January 19, 2023 Filed Jan 21, 2023 02:52 UTC
Morris David RichardDirector · President/CEO/ CFO
Exercise / conversionCommon Stock, No Par Value 767 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001528 · rdgdoc.xml · nonDerivative · entry 1

Morris David Richard · CIK 0001711919 · Director · President/CEO/ CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,068

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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January 19, 2023 Filed Jan 21, 2023 02:48 UTC
Pang SimonFormer EVP
Exercise / conversionRestricted Stock Units · Derivative 767 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001524 · rdgdoc.xml · derivative · entry 2

Pang Simon · CIK 0001711564 · Former EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Stock Units · 1,534 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.

F2 · derivative.exercise_date: These restricted stock units vest in three equal annual installments beginning one year after the 01/19/2022 date of grant.

F1 · derivative.expiration_date: There will be no expiration date once restricted stock units vest.

F3 · balance_after: Represents forfeiture of remaining 1,534 restricted stock units

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January 19, 2023 Filed Jan 21, 2023 02:48 UTC
Pang SimonFormer EVP
Exercise / conversionCommon Stock, No Par Value 767 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001524 · rdgdoc.xml · nonDerivative · entry 1

Pang Simon · CIK 0001711564 · Former EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,925

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 19, 2023 Filed Jan 21, 2023 02:58 UTC Exercise / conversionRestricted Stock Units · Derivative 767 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-001532 · rdgdoc.xml · derivative · entry 2

Liu Vincent · CIK 0001711562 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,534

Underlying: Restricted Stock Units · 2,301 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 three 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

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