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RBB Bancorp (RBB) EVP updates RSU and PSU holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4/A

Rhea-AI Filing Summary

RBB Bancorp executive Jeffrey Yeh, an EVP, reported updates to his RBB common stock and equity awards. On 03/21/2025, he exercised 1,326 restricted stock units (RSUs) into common stock at $17.07 per share (transaction code M). To cover obligations, 475 shares were withheld and disposed of at $17.07 (code F), leaving him with 56,800 shares of RBB common stock held directly.

Following the transactions, Yeh continues to hold several derivative awards, including RSUs of 842 and 1,843 shares from prior grants and 2,652 RSUs from a 03/20/2024 grant that vest in three annual installments. He also holds 5,967 performance stock units that may vest after a three-year performance and service period starting 03/20/2024. The amendment clarifies that remaining RSUs from the 03/20/2024 grant should be 2,652, not 2,143.

Positive

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Negative

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Insider Yeh Jeffrey
Role EVP
Type Security Shares Price Value
Exercise Restricted Stock Units 1,326 $0.00 --
Exercise Common Stock, No Par Value 1,326 $17.07 $23K
Tax Withholding Common Stock, No Par Value 475 $17.07 $8K
holding Restricted Stock Units -- -- --
holding Restricted Stock Units -- -- --
holding Performance Stock Units -- -- --
Holdings After Transaction: Restricted Stock Units — 2,652 shares (Direct); Common Stock, No Par Value — 57,275 shares (Direct); Performance Stock Units — 5,967 shares (Direct)
Footnotes (1)
  1. There will be no expiration date once restricted stock units vest. These restricted stock units vest in three equal annual installments beginning one year after the 01/18/2023 date of grant. These restricted stock units vest in three equal annual installments beginning one year after the 02/21/2024 date of grant. These restricted stock units vest in three equal annual installments beginning one year after the 03/20/2024 date of grant. These performance stock units ("PSUs") will vest conditionally on the achievement of certain performance goals and an employment condition. The reported PSUs will vest at the expiration of a three-year period beginning on 03/20/2024 subject to the Reporting Person's satisfaction of the employment condition.
Form 4 Insider Transactions: What Each Field Means →
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
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Yeh Jeffrey
(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
X Officer (give title below) Other (specify below)
EVP
3. Date of Earliest Transaction (Month/Day/Year)
03/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
03/24/2025 		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 03/21/2025 M 1,326 A $17.07 57,275 D
Common Stock, No Par Value 03/21/2025 F 475 D $17.07 56,800 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
Restricted Stock Units $0.0000 (2) (1) Restricted Stock Units 842 842 D
Restricted Stock Units $0.0000 (3) (1) Restricted Stock Units 1,843 1,843 D
Restricted Stock Units $0 03/21/2025 M 1,326 (4) (1) Restricted Stock Units 3,978 $0 2,652 D
Performance Stock Units $0.0000 (5) (1) Performance Stock Units 5,967 5,967 D
Explanation of Responses:
1. There will be no expiration date once restricted stock units vest.
2. These restricted stock units vest in three equal annual installments beginning one year after the 01/18/2023 date of grant.
3. These restricted stock units vest in three equal annual installments beginning one year after the 02/21/2024 date of grant.
4. These restricted stock units vest in three equal annual installments beginning one year after the 03/20/2024 date of grant.
5. These performance stock units ("PSUs") will vest conditionally on the achievement of certain performance goals and an employment condition. The reported PSUs will vest at the expiration of a three-year period beginning on 03/20/2024 subject to the Reporting Person's satisfaction of the employment condition.
Remarks:
To correct remaining RSUs from 3/20/2024 grant. Should be 2652 not 2143.
/s/ Jeffrey Yeh 01/22/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did the RBB Bancorp (RBB) EVP report in this Form 4/A?

The EVP, Jeffrey Yeh, reported exercising 1,326 restricted stock units into RBB Bancorp common stock and updating his outstanding RSU and PSU balances.

How many RBB Bancorp shares does the EVP own after the reported transactions?

After the transactions on 03/21/2025, the EVP directly owns 56,800 shares of RBB Bancorp common stock.

What transactions occurred with RBB Bancorp stock on 03/21/2025?

On 03/21/2025, 1,326 RSUs were exercised into common stock at $17.07 per share, and 475 shares were disposed of at $17.07 in a tax-related transaction (code F).

What restricted stock units does the RBB Bancorp EVP still hold?

The EVP holds RSUs of 842 shares, 1,843 shares, and 2,652 shares from prior grants that vest in three equal annual installments beginning one year after their respective grant dates.

What performance stock units are reported for the RBB Bancorp EVP?

The EVP holds 5,967 performance stock units (PSUs) that will vest conditionally based on performance goals and an employment condition over a three-year period beginning 03/20/2024.

Why is this filing labeled as an amendment (Form 4/A) for RBB Bancorp?

The filing states it is to correct remaining RSUs from the 03/20/2024 grant, clarifying that the remaining amount should be 2,652 RSUs instead of 2,143.

What is the role of the reporting person at RBB Bancorp (RBB)?

The reporting person, Jeffrey Yeh, is an Executive Vice President (EVP) of RBB Bancorp.