James Kao - 18 Jan 2023 Form 4/A - Amendment Insider Report for RBB Bancorp (RBB)

Role
Director
Signature
/s/ James Kao
Issuer symbol
RBB
Transactions as of
18 Jan 2023
Net transactions value
$0
Form type
4/A - Amendment
Filing time
09 Nov 2023, 19:20:56 UTC
Date Of Original Report
20 Jan 2023
Previous filing
22 Jul 2022
Next filing
09 Nov 2023
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 +800 +0.18% $0.000000 445,276 18 Jan 2023 Direct
transaction RBB Common Stock, No Par Value Options Exercise $0 +500 +0.11% $0.000000 445,776 19 Jan 2023 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 Units Options Exercise $0 -500 -100% $0.000000* 0 19 Jan 2022 Restricted Stock Units 500 $0.000000 Direct F1, F2
transaction RBB Restricted Stock Units Options Exercise $0 -800 -57% $0.000000 600 18 Jan 2023 Restricted Stock Units 1,400 $0.000000 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These restricted stock units vest in two installments: 500 at 07/21/2022 and 500 at 01/19/2023.
F2 There will be no expiration date once restricted stock units vest.
F3 These restricted stock units vest in two installments: 800 on 01/18/2023 and 600 at 01/18/2024.

Remarks:

Dr. James Kao was granted 1,400 restricted stock units that will vest in two installments: 800 on 01/18/2023 and 600 on 01/18/2024. The second and final vesting of the RSUs that were granted on 1/19/2022 are also reflected. Amended to reflect correct number of options in Table II.