Yee Phong Thian - Aug 13, 2021 Form 4/A - Amendment Insider Report for RBB Bancorp (RBB)

Role
President/CEO
Signature
/s/ Yee Phong Thian
Stock symbol
RBB
Transactions as of
Aug 13, 2021
Transactions value $
$0
Form type
4/A - Amendment
Date filed
8/17/2021, 01:16 PM
Date Of Original Report
Aug 16, 2021
Next filing
Feb 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RBB Common Stock, No Par Value Options Exercise $0 +14.5K +3% $0.00 497K Aug 13, 2021 Direct F1
transaction RBB Restricted Stock Shares Options Exercise $0 -14.5K -19.44% $0.00 60K Aug 13, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RBB Restricted Stock Shares Options Exercise $0 -14.5K -100% $0.00* 0 Aug 13, 2021 Restricted Stock 14.5K $0.00 Direct F2, F3
holding RBB Option (right to buy) 10.8K Aug 13, 2021 Common Stock 10.8K $11.15 Direct F4
holding RBB Option (right to buy) 242K Aug 13, 2021 Common Stock 242K $11.15 Direct F5
holding RBB Option (right to buy) 10.8K Aug 13, 2021 Common Stock 10.8K $11.15 Direct F6
holding RBB Option (right to buy) 10.3K Aug 13, 2021 Common Stock 10.3K $13.21 Direct F7
holding RBB Option (right to buy) 10K Aug 13, 2021 Common Stock 10K $17.08 Direct F8
holding RBB Option (right to buy) 10K Aug 13, 2021 Common Stock 10K $18.25 Direct F9
holding RBB Restricted Stock Shares 60K Aug 13, 2021 Restricted Stock 60K $0.00 Direct F3, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares represent the second vesting of the three equal annual installments beginning one year after the 08/15/2018 date of grant.
F2 1/3 of this restricted stock grant vested on August 15, 2019, 1/3 of this restricted stock grant vested on August 15, 2020, and thereafter 1/3 of this restricted stock grant will vest on August 15, 2021.
F3 There will be no expiration date once restricted stock shares vest.
F4 These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.
F5 These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.
F6 These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.
F7 These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
F8 These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
F9 These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
F10 These restricted stock vest in three equal annual installments beginning one year after the 01/21/2021 date of grant.

Remarks:

Third and final vesting of restricted stocks that was granted on 08/15/2018. Amended to reflect correct number of total restricted stock.