Liu Vincent's Form 4 filing
RBB Bancorp (RBB) · filed Sep 1, 2021
- Accession no.
- 0001437749-21-021310
- Filed
- Sep 1, 2021
- Trade date
- Aug 31, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.40M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Liu VincentCIK 0001711562 | Officer (EVP) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2021 | Common Stock, No Par Value | MOption exerciseAcquired | +94,172 | $11.15 | +$1,050,017.8 | 165,335 | Direct | |
| Aug 31, 2021 | Common Stock, No Par Value | SSaleDisposed | −94,172 | $25.50F3 | −$2,401,386 | 71,163 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2021 | Common Stock | MOption exerciseDisposed | −94,172 | $11.15 | −$1,050,017.8 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
Price reflected is the weighted-average sale price for shares, which were sold in multiple transactions. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
Remarks
Vincent Liu is reporting a cashless exercise and sale of 94,172 shares.