Sec Form 4 Filing - Koo Chie-Min Christopher @ RBB Bancorp - 2021-03-12

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

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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 *
Koo Chie-Min Christopher
2. Issuer Name and Ticker or Trading Symbol
RBB Bancorp [ RBB]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
1055 WILSHIRE BLVD, SUITE 1200
3. Date of Earliest Transaction (MM/DD/YY)
03/12/2021
(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
Stock Options 03/12/2021 M 10,763 D $ 9.2915 51,776 D
Common Stock, No Par Value 03/12/2021 M 10,763 A $ 9.2915 28,565 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 03/12/2021 M 10,763 ( 1 ) 05/18/2021 Common Stock 10,763 $ 9.2915 10,763 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 ) 05/15/2023 Common Stock 10,763 10,763 D
Option (right to buy) $ 13.2098 ( 4 ) 05/21/2024 Common Stock 10,250 10,250 D
Option (right to buy) $ 17.08 ( 5 ) 05/20/2025 Common Stock 10,000 10,000 D
Option (right to buy) $ 18.25 ( 6 ) 05/17/2026 Common Stock 10,000 10,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Koo Chie-Min Christopher
1055 WILSHIRE BLVD
SUITE 1200
LOS ANGELES, CA90017
X
Signatures
/s/ Christopher Chie-Min Koo 03/15/2021
** Signature of Reporting Person Date
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.

Remarks:
Christopher Koo exercised 10,763 shares on 3/12/2021.

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.
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