RBB BANCORP(RBB) 4 filing Filed On Apr 30, 2021

My Watchlist

Create Alerts to view your Watchlist

Live Feed

Feed to the latest filings at the SEC

All

One Day Prior

Two Day Prior

Three Day Prior

RBB BANCORP

Date Filed : Apr 30, 2021

View Exhibits

SEC FORM 4SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Thian Yee Phong

(Last)

(First)

(Middle)

1055 WILSHIRE BLVD

SUITE 1200

(Street)

LOS ANGELES

90017

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
RBB Bancorp [ RBB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President/CEO

3. Date of Earliest Transaction (Month/Day/Year)
04/29/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Shares								74,475	D
Common Stock, No Par Value	04/29/2021		M		10,763	A	$9.2915	482,827	D
Stock Options	04/29/2021		M		10,763	D	$9.2915	293,932	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Option (right to buy)	$9.2915	04/29/2021		M			10,763	⁽¹⁾	05/18/2021	Common Stock	10,763	$9.2915	0	D
Option (right to buy)	$11.1498							⁽²⁾	05/16/2022	Common Stock	10,763		10,763	D
Option (right to buy)	$11.1498							⁽³⁾	01/01/2023	Common Stock	242,156		242,156	D
Option (right to buy)	$11.1498							⁽⁴⁾	05/15/2023	Common Stock	10,763		10,763	D
Option (right to buy)	$13.2098							⁽⁵⁾	05/21/2024	Common Stock	10,250		10,250	D
Option (right to buy)	$17.08							⁽⁶⁾	05/20/2025	Common Stock	10,000		10,000	D
Option (right to buy)	$18.25							⁽⁷⁾	05/17/2026	Common Stock	10,000		10,000	D
Restricted Stock Shares	$0.0000							⁽⁸⁾	⁽⁹⁾	Restricted Stock	14,475		14,475	D
Restricted Stock Shares	$0.0000							⁽¹⁰⁾	⁽⁹⁾	Restricted Stock	60,000		60,000	D

Explanation of Responses:

1. These options vest in three equal annual installments beginning one year after the 05/18/2011 date of grant.

2. These options vest in three equal annual installments beginning one year after the 05/16/2012 date of grant.

3. These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.

4. These options vest in three equal annual installments beginning one year after the 05/15/2013 date of grant.

5. These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.

6. These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.

7. These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.

8. These restricted stock vest in three equal annual installments beginning one year after the 08/15/2018 date of grant.

9. There will be no expiration date once restricted stock shares vest.

10. These restricted stock vest in three equal annual installments beginning one year after the 01/21/2021 date of grant.

Remarks:

Yee Phong Thian exercised 10,763 stock options on 4/29/2021.

	/s/ Yee Phong Thian	04/30/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Stock View

Live Feed

Type of Filers

Type of Forms

Date Range

RBB BANCORP