Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| California BanCorp \ CABCAL · Entity 5250 | Director · Chairman and CEO | August 02, 2026 | August 04, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
California BanCorp \ CA
Report date August 02, 2026 · Filed August 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 141,410 |
Reported balance
After 2026-08-02 transaction · row 1
1 source rowRow 1 · 2026-08-02 · Tax withholding · Disposed 3,518 · Balance 141,410 F1: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. |
| Common StockSEC Table I · non-derivative | IndirectDAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 | 356,347 |
Reported balance
Holding disclosure · report date 2026-08-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 356,347 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CU Bancorp
Report date October 20, 2017 · Filed October 23, 2017
Section 16 reporting ended · disclosed 2017-10-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-10-20 transaction · row 1
1 source rowRow 1 · 2017-10-20 · Disposition to issuer · Disposed 21,265 · Balance 0 F1: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. F3: Amount of securities disposed of, pursuant to the Merger Agreement, includes CUB restricted shares. At the effective time of the Merger, any vesting conditions applicable to outstanding restricted share awards under CUB's equity incentive plans automatically accelerated in full and such restricted shares converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. |
| Common StockSEC Table I · non-derivative | IndirectTrustee of the David and Anne Rainer Trust | 0 |
Reported balance
After 2017-10-20 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-10-20 · Disposition to issuer · Disposed 201,621 · Balance 0 F1: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. |
| Common StockSEC Table I · non-derivative | IndirectIRA | 0 |
Reported balance
After 2017-10-20 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-10-20 · Disposition to issuer · Disposed 31,634 · Balance 0 F1: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-20 · Disposition to issuer · Disposed 40,000 · Balance 0 F4: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5] F5: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2]
F2: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share.
F3: Amount of securities disposed of, pursuant to the Merger Agreement, includes CUB restricted shares. At the effective time of the Merger, any vesting conditions applicable to outstanding restricted share awards under CUB's equity incentive plans automatically accelerated in full and such restricted shares converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting.
F4: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5]
F5: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 02, 2026 Filed Aug 4, 2026 00:13 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 3,518 | $21.30 | $74,933.40 |
DisclosureSEC source: 0001555186-26-000006 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 141,410 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| May 07, 2026 Filed May 8, 2026 20:40 UTC | California BanCorp \ CA BCAL · Entity 5250 | SaleCommon Stock | 75,000 | $19.00 | $1,425,000.00 |
DisclosureSEC source: 0001555186-26-000004 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 356,347 Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 02:17 UTC | California BanCorp \ CA BCAL · Entity 5250 | GrantCommon Stock | 28,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001555186-26-000002 · primarydocument.xml · nonDerivative · entry 4 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,928 F3 · kind: Represents restricted stock units granted to the Reporting Person on March 2, 2026, which will be issued upon vesting and will vest annually, in substantially equal installments, over a two-year period beginning on March 1, 2027. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 02:17 UTC | California BanCorp \ CA BCAL · Entity 5250 | GrantCommon Stock | 65,396 | $0.00 | $0.00 |
DisclosureSEC source: 0001555186-26-000002 · primarydocument.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,154 F2 · kind: Represents restricted stock units granted to the Reporting Person on March 2, 2026, which will be issued upon vesting in substantially equal installments on March 1, 2028 and March 1, 2029. Read SEC document |
| March 01, 2026 Filed Mar 4, 2026 02:17 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 5,206 | $18.31 | $95,321.86 |
DisclosureSEC source: 0001555186-26-000002 · primarydocument.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,758 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| March 01, 2026 Filed Mar 4, 2026 02:17 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 613 | $18.31 | $11,224.03 |
DisclosureSEC source: 0001555186-26-000002 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,964 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| December 15, 2025 Filed Dec 16, 2025 01:00 UTC | California BanCorp \ CA BCAL · Entity 5250 | OtherCommon Stock | 110,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001555186-25-000006 · primarydocument.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 431,347 F1 · kind: Shares transferred to the Reporting Person's living trust account. Read SEC document |
| December 15, 2025 Filed Dec 16, 2025 01:00 UTC | California BanCorp \ CA BCAL · Entity 5250 | OtherCommon Stock | 110,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001555186-25-000006 · primarydocument.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,577 F1 · kind: Shares transferred to the Reporting Person's living trust account. Read SEC document |
| December 09, 2025 Filed Dec 16, 2025 01:00 UTC | California BanCorp \ CA BCAL · Entity 5250 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001555186-25-000006 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 320,824 Read SEC document |
| December 01, 2025 Filed Dec 3, 2025 18:16 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 32,904 | $19.45 | $639,982.80 |
DisclosureSEC source: 0001555186-25-000004 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 167,100 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| August 27, 2025 Filed Aug 28, 2025 23:38 UTC | California BanCorp \ CA BCAL · Entity 5250 | Disposition to issuerCommon Stock | 6,300 | $16.72 | $105,346.08 |
DisclosureSEC source: 0001562180-25-006039 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 322,824 Read SEC document |
| August 02, 2025 Filed Aug 4, 2025 22:43 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 3,508 | $14.60 | $51,216.80 |
DisclosureSEC source: 0001562180-25-005640 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,004 F1 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| June 13, 2025 Filed Jun 16, 2025 21:21 UTC | California BanCorp \ CA BCAL · Entity 5250 | Disposition to issuerCommon Stock | 7,000 | $14.65 | $102,556.30 |
DisclosureSEC source: 0001562180-25-004861 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 329,124 Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 02:56 UTC | California BanCorp \ CA BCAL · Entity 5250 | Disposition to issuerCommon Stock | 6,300 | $16.02 | $100,926.00 |
DisclosureSEC source: 0001562180-25-002083 · primarydocument.xml · nonDerivative · entry 5 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 336,124 F1 · balance_after: On May 16, 2024, the Reporting Person transferred 219,923 shares of the registrant's common stock to a family trust of which the Reporting Person is a trustee. F4 · balance_after: Includes 500 shares of the Reporting Person's common stock not previously reported. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 02:56 UTC | California BanCorp \ CA BCAL · Entity 5250 | GrantCommon Stock | 3,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-25-002083 · primarydocument.xml · nonDerivative · entry 4 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 203,512 F3 · kind: Represents restricted stock units granted to the Reporting Person on March 3, 2025, which will be issued upon vesting and will vest annually, in substantially equal installments, over a two-year period beginning on March 1, 2026. Read SEC document |
| March 01, 2025 Filed Mar 5, 2025 02:56 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 5,188 | $15.99 | $82,956.12 |
DisclosureSEC source: 0001562180-25-002083 · primarydocument.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,096 F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| March 01, 2025 Filed Mar 5, 2025 02:56 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 2,763 | $15.99 | $44,180.37 |
DisclosureSEC source: 0001562180-25-002083 · primarydocument.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,284 F2 · kind: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| December 01, 2024 Filed Dec 4, 2024 01:44 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 32,918 | $17.92 | $589,890.56 |
DisclosureSEC source: 0001562180-24-008140 · primarydocument.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 427,970 F1 · shares: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| November 06, 2024 Filed Dec 4, 2024 01:44 UTC | California BanCorp \ CA BCAL · Entity 5250 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-008140 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · DAVID AND ANNE RAINER TRUST U/A DTD 05/07/1997 Disclosed balance after: 122,001 Read SEC document |
| August 02, 2024 Filed Aug 6, 2024 20:49 UTC | California BanCorp \ CA BCAL · Entity 5250 | GrantCommon Stock | 49,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-006053 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 460,888 F1 · shares: Represents restricted stock units granted to the Reporting Person on August 2, 2024, which will be issued upon vesting and will vest annually, in substantially equal installments, over a five-year period beginning on its first anniversary. Read SEC document |
| May 16, 2024 Filed Mar 5, 2025 02:56 UTC | California BanCorp \ CA BCAL · Entity 5250 | OtherCommon Stock | 219,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-25-002083 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 208,047 F1 · kind: On May 16, 2024, the Reporting Person transferred 219,923 shares of the registrant's common stock to a family trust of which the Reporting Person is a trustee. Read SEC document |
| March 29, 2024 Filed Apr 1, 2024 18:57 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 5,774 | $14.91 | $86,090.34 |
DisclosureSEC source: 0001562180-24-003073 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · CEO/Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 411,868 F1 · shares: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 23:50 UTC | California BanCorp \ CA BCAL · Entity 5250 | Tax withholdingCommon Stock | 2,969 | $15.17 | $45,039.73 |
DisclosureSEC source: 0001562180-24-002340 · primarydocument.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · CEO/Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 417,642 F2 · shares: Shares disposed to satisfy the Reporting Person's tax liability by the vesting of a previously granted award. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 23:50 UTC | California BanCorp \ CA BCAL · Entity 5250 | GrantCommon Stock | 27,889 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-002340 · primarydocument.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · CEO/Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 420,611 F1 · shares: Represents 27,889 shares restricted stock units granted to the Reporting Person on March 1, 2024, which will be issued upon vesting and will vest annually, in substantially equal installments, over a two-year period beginning on March 1, 2025. Read SEC document |
| October 20, 2017 Filed Oct 23, 2017 18:19 UTC | CU Bancorp CUNB · Entity 172327 | Disposition to issuerRestricted Stock Units · Derivative | 40,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-057787 · doc4.xml · derivative · entry 4 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires not disclosed F4 · derivative.exercise_price: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5] F5 · derivative.exercise_price: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. F4 · price: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5] F5 · price: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. F4 · derivative.exercise_date: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5] F5 · derivative.exercise_date: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. F4 · derivative.expiration_date: At the effective time of the Merger, any vesting conditions applicable to outstanding restricted stock units under CUB's equity incentive plans automatically accelerated in full and such restricted stock units converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. This includes 10,000 restricted stock units that were scheduled to vest on March 19, 2018, 10,000 restricted stock units that were scheduled to vest on March 19, 2019, and 20,000 restricted stock units that vested on March 19, 2017, but had not settled. Under the terms of the restricted stock units, settlement of the 20,000 restricted stock units was deferred until compensation paid to the reporting person was no longer subject to Section 162(m) of the Internal Revenue Code. [continued in FN5] F5 · derivative.expiration_date: [continued from FN4] At the effective time of the Merger, the compensation paid to the reporting person is no longer be subject to Section 162(m) of the Internal Revenue Code. In connection with the Merger, the reporting person has the right to receive, in exchange for the restricted stock units reported in Table II, 21,232 shares of PacWest common stock and $480,000 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. Read SEC document |
| October 20, 2017 Filed Oct 23, 2017 18:19 UTC | CU Bancorp CUNB · Entity 172327 | Disposition to issuerCommon Stock | 31,634 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-057787 · doc4.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · IRA Disclosed balance after: 0 F1 · price: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2 · price: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. Read SEC document |
| October 20, 2017 Filed Oct 23, 2017 18:19 UTC | CU Bancorp CUNB · Entity 172327 | Disposition to issuerCommon Stock | 201,621 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-057787 · doc4.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 0 F1 · price: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2 · price: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. Read SEC document |
| October 20, 2017 Filed Oct 23, 2017 18:19 UTC | CU Bancorp CUNB · Entity 172327 | Disposition to issuerCommon Stock | 21,265 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-057787 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: On October 20, 2017, pursuant to the Agreement and Plan of Merger ("Merger Agreement"), dated as of April 5, 2017, by and between PacWest Bancorp ("PacWest") and CU Bancorp ("CUB"), CUB merged with and into PacWest ("Merger"), and each outstanding CUB common share, other than excluded shares and dissenting shares, was converted into the right to receive (i) $12.00 in cash and (ii) 0.5308 of a share of PacWest common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of PacWest common stock which the holder would otherwise be entitled to receive multiplied by $48.9248. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the CUB common shares reported in Table I, an aggregate of 135,099 shares of PacWest common stock and $3,054,240 in cash, with cash payable in lieu of a fractional share of PacWest common stock, subject to any required tax withholding under applicable law. [contd. in FN2] F2 · price: [continued from FN1] On October 20, 2017, the effective date of the Merger, the closing price of PacWest common stock was $47.99 per share. F3 · price: Amount of securities disposed of, pursuant to the Merger Agreement, includes CUB restricted shares. At the effective time of the Merger, any vesting conditions applicable to outstanding restricted share awards under CUB's equity incentive plans automatically accelerated in full and such restricted shares converted into, and will be exchanged for, the merger consideration as described in note (1) above, less any applicable taxes required to be withheld with respect to such vesting. Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 11,389 | $16.00 Strike: $16.00 | $182,224.00 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · derivative · entry 8 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,389 shares Expires 2017-09-24 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: As of filing date, the stock option grant is 100% vested and immediately exercisable. Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | SaleCommon Stock | 11,389 | $38.05 | $433,351.45 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · nonDerivative · entry 4 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 201,621 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 30, 2017. F3 · price: This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $38.00 to $38.35 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionCommon Stock | 11,389 | $16.00 | $182,224.00 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 213,010 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 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 30, 2017. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 11,944 | $16.00 Strike: $16.00 | $191,104.00 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · derivative · entry 7 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,389 Underlying: Common Stock · 23,333 shares Expires 2017-09-24 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: As of filing date, the stock option grant is 100% vested and immediately exercisable. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | SaleCommon Stock | 11,944 | $38.57 | $460,680.08 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 201,621 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 30, 2017. F2 · price: This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $38.25 to $39.55 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionCommon Stock | 11,944 | $16.00 | $191,104.00 |
DisclosureSEC source: 0001209191-17-017738 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 213,565 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. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 30, 2017. Read SEC document |
| February 07, 2017 Filed Feb 9, 2017 11:39 UTC | CU Bancorp CUNB · Entity 172327 | GrantCommon Stock | 9,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-008975 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,265 F1 · shares: 9,078 restricted shares of common stock were granted to the Reporting Person on February 7, 2017, pursuant to the 2016 Management Incentive Plan developed under and pursuant to the 2007 Equity and Incentive Plan, as amended and restated July 31, 2014. The restricted stock award vests 50% on the second Tuesday in December 2017 (i.e., December 12, 2017), and the remaining 50% on the second Tuesday in December 2018 (i.e., December 11, 2018). F2 · balance_after: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. Read SEC document |
| December 18, 2016 Filed Dec 27, 2016 12:58 UTC | CU Bancorp CUNB · Entity 172327 | Tax withholdingCommon Stock | 1,966 | $32.85 | $64,583.10 |
DisclosureSEC source: 0001209191-16-156771 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,142 F1 · date: The Reporting Person is reporting this transaction late due to administrative error. F2 · kind: The Reporting Person is reporting the withholding by CU Bancorp of 1,966 shares of common stock to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of 4,433 shares of restricted stock to the Reporting Person on December 18, 2016, in accordance with the vesting schedule set forth in the restricted stock grant. F3 · balance_after: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. Read SEC document |
| December 16, 2016 Filed Dec 23, 2016 19:39 UTC | CU Bancorp CUNB · Entity 172327 | Tax withholdingCommon Stock | 3,438 | $32.80 | $112,766.40 |
DisclosureSEC source: 0001209191-16-156707 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,108 F1 · date: The Reporting Person is reporting this transaction late due to administrative error. F2 · kind: The Reporting Person is reporting the withholding by CU Bancorp of 3,438 shares of common stock to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of 7,753 shares of restricted stock to the Reporting Person on December 13, 2016, in accordance with the vesting schedule set forth in the restricted stock grant. F3 · balance_after: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. Read SEC document |
| December 08, 2016 Filed Dec 8, 2016 18:35 UTC | CU Bancorp CUNB · Entity 172327 | GiftCommon Stock | 210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-154245 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 182,666 F1 · price: The shares were given as a bona fide gift. Read SEC document |
| December 05, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 7,000 | $0.00 Strike: $17.50 | $0.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · derivative · entry 13 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 7,000 shares Expires 2017-02-26 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. F9 · derivative.exercise_date: As of filing date, the stock option grant is 100% vested and immediately exercisable. Read SEC document |
| December 05, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | SaleCommon Stock | 7,000 | $28.67 | $200,690.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 6 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,546 F1 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. F3 · shares: Represents the aggregate of sales effected on the same day at different prices. F6 · price: This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $28.53 to $28.88 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| December 05, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionCommon Stock | 7,000 | $17.50 | $122,500.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 5 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,546 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 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 11,000 | $0.00 Strike: $17.50 | $0.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · derivative · entry 12 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2017-02-26 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. F9 · derivative.exercise_date: As of filing date, the stock option grant is 100% vested and immediately exercisable. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | SaleCommon Stock | 11,000 | $27.88 | $306,680.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 4 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,546 F1 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. F3 · shares: Represents the aggregate of sales effected on the same day at different prices. F5 · price: This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $27.75 to $28.25 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionCommon Stock | 11,000 | $17.50 | $192,500.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 3 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,546 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 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionOptions to Purchase Common Stock · Derivative | 38,000 | $0.00 Strike: $17.50 | $0.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · derivative · entry 11 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 38,000 shares Expires 2017-02-26 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. F9 · derivative.exercise_date: As of filing date, the stock option grant is 100% vested and immediately exercisable. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | SaleCommon Stock | 38,000 | $27.85 | $1,058,300.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 2 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,546 F1 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. F3 · shares: Represents the aggregate of sales effected on the same day at different prices. F4 · price: This figure represents the weighted average sale price for all transactions, which are being aggregated and reported on a single line, as the transactions were all effectuated within a one dollar range, ranging from $27.70 to $28.10 per share. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 17:11 UTC | CU Bancorp CUNB · Entity 172327 | Exercise / conversionCommon Stock | 38,000 | $17.50 | $665,000.00 |
DisclosureSEC source: 0001209191-16-153405 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,546 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 · security: Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant. F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 1, 2016. Read SEC document |
| September 29, 2016 Filed Oct 3, 2016 19:55 UTC | CU Bancorp CUNB · Entity 172327 | GiftCommon Stock | 200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-143778 · doc4.xml · nonDerivative · entry 1 Rainer David I · CIK 0001555186 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of the David and Anne Rainer Trust Disclosed balance after: 182,876 F1 · price: The shares were given as a bona fide gift. 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.