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

Role
President/CEO
Signature
/s/ Yee Phong Thian
Issuer symbol
RBB
Transactions as of
13 Aug 2021
Net transactions value
$0
Form type
4/A - Amendment
Filing time
17 Aug 2021, 13:16:14 UTC
Date Of Original Report
16 Aug 2021
Next filing
17 Feb 2022
SEC
View on sec.gov

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 +14,475 +3% $0.000000 497,302 13 Aug 2021 Direct F1
transaction RBB Restricted Stock Shares Options Exercise $0 -14,475 -19% $0.000000 60,000 13 Aug 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 -14,475 -100% $0.000000* 0 13 Aug 2021 Restricted Stock 14,475 $0.000000 Direct F2, F3
holding RBB Option (right to buy) 10,763 13 Aug 2021 Common Stock 10,763 $11.15 Direct F4
holding RBB Option (right to buy) 242,156 13 Aug 2021 Common Stock 242,156 $11.15 Direct F5
holding RBB Option (right to buy) 10,763 13 Aug 2021 Common Stock 10,763 $11.15 Direct F6
holding RBB Option (right to buy) 10,250 13 Aug 2021 Common Stock 10,250 $13.21 Direct F7
holding RBB Option (right to buy) 10,000 13 Aug 2021 Common Stock 10,000 $17.08 Direct F8
holding RBB Option (right to buy) 10,000 13 Aug 2021 Common Stock 10,000 $18.25 Direct F9
holding RBB Restricted Stock Shares 60,000 13 Aug 2021 Restricted Stock 60,000 $0.000000 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.