0001181431-13-056985.txt : 20131105 0001181431-13-056985.hdr.sgml : 20131105 20131105180121 ACCESSION NUMBER: 0001181431-13-056985 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131101 FILED AS OF DATE: 20131105 DATE AS OF CHANGE: 20131105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CU Bancorp CENTRAL INDEX KEY: 0001543643 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 900779788 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 15821 VENTURA BOULEVARD, SUITE 100 CITY: ENCINO STATE: CA ZIP: 91436 BUSINESS PHONE: (818) 257-7779 MAIL ADDRESS: STREET 1: 15821 VENTURA BOULEVARD, SUITE 100 CITY: ENCINO STATE: CA ZIP: 91436 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Williams Anne A CENTRAL INDEX KEY: 0001555463 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35683 FILM NUMBER: 131194021 MAIL ADDRESS: STREET 1: 15821 VENTURA BOULEVARD STREET 2: SUITE 100 CITY: ENCINO STATE: CA ZIP: 91436 4 1 rrd394489.xml WILLIAMS FORM 4 NOVEMBER 5, 2013 X0306 4 2013-11-01 0 0001543643 CU Bancorp CUNB 0001555463 Williams Anne A C/O CU BANCORP 15821 VENTURA BLVD. SUITE 100 ENCINO CA 91436 1 1 0 0 EVP and CCO Common Stock 2013-11-01 4 M 0 60261 10 A 165806 D Common Stock 2013-11-01 4 S 0 60149 18.50 D 105657 D Common Stock 2013-11-01 4 S 0 1 18.525 D 105656 D Common Stock 2013-11-01 4 S 0 28 18.54 D 105628 D Common Stock 2013-11-01 4 S 0 83 18.545 D 105545 D Options to Purchase Common Stock 10 2013-11-01 4 M 0 60261 0 D 2015-05-16 Common Stock 60261 0 D Options to Purchase Common Stock 22 2016-04-25 Common Stock 5000 5000 D Options to Purchase Common Stock 12.2 2017-04-27 Common Stock 8500 8500 D 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. The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 16, 2013. 62,500 stock options were granted under the 2005 Stock Option Plan to the Reporting Person on May 17, 2005. The options vested in four equal annual installments on each of May 17, 2006, 2007, 2008 and 2009, and are fully vested and exercisable. As of the date of this report, a total of 62,500 stock options were exercised by the Reporting Person. Stock options were granted to the Reporting Person on April 26, 2006. The options vested in four equal annual installments on each of April 26, 2007, 2008, 2009 and 2010, and as of the filing date are fully vested and exercisable. Stock options were granted to the Reporting Person on April 27, 2010. The options vested in five equal annual installments on each of April 27, 2011, 2012, 2013, 2014 and 2015. Power of Attorney filed as Exhibit 24 on August 16, 2012 Anne Williams by Anita Wolman, Attorney-in-fact 2013-11-05