SEC FORM 4 SEC 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
X
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*
Kao Ruey Chyr

(Last) (First) (Middle)
1055 WILSHIRE BLVD
SUITE 1200

(Street)
LOS ANGELES CA 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
Officer (give title below) X Other (specify below)
Former Director
3. Date of Earliest Transaction (Month/Day/Year)
07/30/2019
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)
Code V Amount (A) or (D) Price
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,763 A $9.2915 597,344 D
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,763 A $11.1498 608,107 D
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,763 A $11.1498 618,870 D
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,250 A $13.2098 629,120 D
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,000 A $17.08 639,120 D
Common Stock, No Par Value 07/30/2019 07/30/2019 M 10,000 A $18.25 649,120 D
Stock Options 07/30/2019 07/30/2019 M 10,763 D $9.2915 51,776 D
Stock Options 07/30/2019 07/30/2019 M 10,763 D $11.1498 41,013 D
Stock Options 07/30/2019 07/30/2019 M 10,763 D $11.1498 30,250 D
Stock Options 07/30/2019 07/30/2019 M 10,250 D $13.2098 20,000 D
Stock Options 07/30/2019 07/30/2019 M 10,000 D $17.08 10,000 D
Stock Options 07/30/2019 07/30/2019 M 10,000 D $18.25 0 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option (right to buy) $9.2915 07/30/2019 07/30/2019 M 10,763 (1) 05/18/2021 Common Stock 10,763 $9.2915 0 D
Option (right to buy) $11.1498 07/30/2019 07/30/2019 M 10,763 (2) 05/16/2022 Common Stock 10,763 $11.1498 0 D
Option (right to buy) $11.1498 07/30/2019 07/30/2019 M 10,763 (3) 05/15/2023 Common Stock 10,763 $11.1498 0 D
Option (right to buy) $13.2098 07/30/2019 07/30/2019 M 10,250 (4) 05/21/2024 Common Stock 10,250 $13.2098 0 D
Option (right to buy) $17.08 07/30/2019 07/30/2019 M 10,000 (5) 05/20/2025 Common Stock 10,000 $17.08 0 D
Option (right to buy) $18.25 07/30/2019 07/30/2019 M 10,000 (6) 05/17/2026 Common Stock 10,000 $18.25 0 D
Option (right to buy) $9.2915 (7) 11/18/2018 Common Stock 0 0 D
Option (right to buy) $9.2915 (8) 01/02/2019 Common Stock 0 0 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 05/15/2013 date of grant.
4. These options vest in three equal annual installments beginning one year after the 05/21/2014 date of grant.
5. These options vest in three equal annual installments beginning one year after the 05/20/2015 date of grant.
6. These options vest in three equal annual installments beginning one year after the 05/17/2016 date of grant.
7. These options vest in three equal annual installments beginning one year after the 11/18/2008 date of grant.
8. These options vest in three equal annual installments beginning one year after the 01/02/2009 date of grant.
Remarks:
Ruey Chyr Kao 08/01/2019
** 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.