Sec Form 4 Filing - Morris David Richard @ RBB Bancorp - 2019-09-11

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Morris David Richard
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)
EVP
(Last) (First) (Middle)
1055 WILSHIRE BLVD, SUITE 1200
3. Date of Earliest Transaction (MM/DD/YY)
09/11/2019
(Street)
LOS ANGELES, CA90017
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 09/11/2019 09/11/2019 M 20,588 A $ 9.2915 33,364 D
Common Stock, No Par Value 09/11/2019 09/11/2019 M 20,588 D $ 19.99 12,776 D
Stock Options 09/11/2019 09/11/2019 M 20,588 D $ 9.2915 63,499 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 09/11/2019 09/11/2019 M 20,588 ( 1 ) 02/01/2020 Common Stock 20,588 $ 9.2915 0 D
Option (right to buy) $ 9.2915 ( 2 ) 01/01/2022 Common Stock 9,686 9,686 D
Option (right to buy) $ 11.1498 ( 3 ) 01/01/2023 Common Stock 53,813 53,813 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Morris David Richard
1055 WILSHIRE BLVD
SUITE 1200
LOS ANGELES, CA90017
EVP
Signatures
David R Morris 09/11/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These options vest in three equal annual installments beginning one year after the 02/01/2010 date of grant.
( 2 )These options vest in three equal annual installments beginning one year after the 01/01/2012 date of grant.
( 3 )These options vest in three equal annual installments beginning one year after the 01/01/2013 date of grant.

Remarks:
Cashless sale

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).
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