0001209191-16-089997.txt : 20160106 0001209191-16-089997.hdr.sgml : 20160106 20160106172807 ACCESSION NUMBER: 0001209191-16-089997 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160106 FILED AS OF DATE: 20160106 DATE AS OF CHANGE: 20160106 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: Horton K Brian CENTRAL INDEX KEY: 0001626135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35683 FILM NUMBER: 161327822 MAIL ADDRESS: STREET 1: C/O CU BANCORP STREET 2: 15821 VENTURA BOULEVARD SUITE 100 CITY: ENCINO STATE: CA ZIP: 91436 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-01-06 0 0001543643 CU Bancorp CUNB 0001626135 Horton K Brian C/O CU BANCORP 15821 VENTURA BLVD, SUITE 100 ENCINO CA 91436 1 1 0 0 President Common Stock 2016-01-06 4 M 0 28268 7.59 A 85928 D Common Stock 2016-01-06 4 S 0 28268 23.75 D 57660 D Common Stock 70444 I By K Brian Horton, Trustee of the K Brian Horton Trust Common Stock 3362 I By Chester E Horton Jr. as Custodian for UTMA/CA for Christopher R. Horton Options to Purchase Common Stock 7.59 2016-01-06 4 M 0 28268 0.00 D 2016-06-21 Common Stock 38222 9954 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 4, 2015. Represents the aggregate of sales effected on the same day at different prices. 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 $23.70 to $23.80 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. As of filing date, the stock option grant is 100% vested and immediately exercisable. K. Brian Horton, By: Anita Y. Wolman, Attorney-in-Fact. 2016-01-06