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  4. [Form 4] USCB FINANCIAL HOLDINGS, INC. Insider Trading Activity

USCB FINANCIAL (USCB) CEO sells 49,414 shares after option exercise

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

Rhea-AI Filing Summary

USCB FINANCIAL HOLDINGS, INC. President and CEO Luis De La Aguilera reported an option exercise paired with an open-market sale of the same number of shares. He exercised stock options for 49,414 shares of Class A Voting Common Stock at $12.05 per share and sold 49,414 shares at a weighted average price of $18.30 per share, with actual sale prices ranging from $18.07 to $18.47. Following these transactions, he holds 242,945 shares of Class A Voting Common Stock directly and 17,430 stock options that remain outstanding and exercisable through September 27, 2031.

Positive

  • None.

Negative

  • None.

Insights

CEO executes routine option exercise-and-sell while retaining a sizable equity stake.

President and CEO Luis De La Aguilera exercised stock options for 49,414 shares of Class A Voting Common Stock at an exercise price of $12.05 per share, then sold 49,414 shares at a weighted average of $18.30 per share.

This pattern reflects a classic exercise-and-sell, turning option value into cash while maintaining exposure through 242,945 directly held shares and 17,430 remaining options expiring on September 27, 2031. The transaction is visible as a net sale in this filing but occurs against a still-meaningful residual equity position.

Insider DE LA AGUILERA LUIS
Role President and CEO
Sold 49,414 shs ($904K)
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 49,414 $0.00 --
Exercise Class A Voting Common Stock 49,414 $12.05 $595K
Sale Class A Voting Common Stock 49,414 $18.30 $904K
Holdings After Transaction: Stock Option (Right to Buy) — 17,430 shares (Direct, null); Class A Voting Common Stock — 292,359 shares (Direct, null)
Footnotes (1)
  1. Includes the grant of 27,632 shares of restricted stock which vest at a rate of one-third per year commencing on January 27, 2027, 17,102 shares of restricted stock from a grant of 25,653 shares which commenced vesting at a rate of one-third per year on January 21, 2026, 4,045 shares of restricted stock from a grant of 12,136 shares which commenced vesting at a rate of one-third per year on January 22, 2025, and 41,666 shares of restricted stock from a grant of 125,000 shares which commenced vesting at a rate of one-third per year on December 31, 2024. The price reported in column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $18.07 to $18.47, inclusive. The reporting person undertakes to provide to USCB, or any security holder of USCB, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The stock options vested at the rate of one-third per year commencing on September 27, 2022.
Shares sold 49,414 shares Class A Voting Common Stock, open-market sale
Weighted average sale price $18.30 per share Open-market sales on transaction date
Sale price range $18.07–$18.47 per share Multiple trades within this range
Option exercise shares 49,414 shares Stock options exercised into common shares
Option exercise price $12.05 per share Conversion/exercise price of stock options
Shares held after transaction 242,945 shares Direct holdings of Class A Voting Common Stock
Remaining stock options 17,430 options Outstanding after exercise, expiring September 27, 2031
Largest restricted stock grant 27,632 shares Restricted stock vesting from January 27, 2027, one-third per year
Class A Voting Common Stock financial
"security_title: "Class A Voting Common Stock""
Stock Option (Right to Buy) financial
"security_title: "Stock Option (Right to Buy)""
restricted stock financial
"Includes the grant of 27,632 shares of restricted stock which vest at a rate of one-third per year"
Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.
weighted price financial
"The price reported in column 4 is a weighted price."
exercise or conversion of derivative security financial
"transaction_code_description: "Exercise or conversion of derivative security""
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
DE LA AGUILERA LUIS
(Last)(First)(Middle)
C/O USCB FINANCIAL HOLDINGS, INC.
2301 N.W. 87TH AVENUE
(Street)
DORAL FLORIDA 33172
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
USCB FINANCIAL HOLDINGS, INC. [ USCB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
President and CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/21/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
Class A Voting Common Stock05/21/2026M49,414A$12.05292,359(1)D
Class A Voting Common Stock05/21/2026S49,414D$18.3(2)242,945(1)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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$12.0505/21/2026M49,41409/27/2022(3)09/27/2031Common Stock49,414$017,430D
Explanation of Responses:
1. Includes the grant of 27,632 shares of restricted stock which vest at a rate of one-third per year commencing on January 27, 2027, 17,102 shares of restricted stock from a grant of 25,653 shares which commenced vesting at a rate of one-third per year on January 21, 2026, 4,045 shares of restricted stock from a grant of 12,136 shares which commenced vesting at a rate of one-third per year on January 22, 2025, and 41,666 shares of restricted stock from a grant of 125,000 shares which commenced vesting at a rate of one-third per year on December 31, 2024.
2. The price reported in column 4 is a weighted price. These shares were sold in multiple transactions at prices ranging from $18.07 to $18.47, inclusive. The reporting person undertakes to provide to USCB, or any security holder of USCB, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. The stock options vested at the rate of one-third per year commencing on September 27, 2022.
/s/ Robert Anderson by P.O.A. for Luis de la Aguilera05/22/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did USCB (USCB) report for CEO Luis De La Aguilera?

Luis De La Aguilera exercised stock options for 49,414 shares of Class A Voting Common Stock at $12.05 per share and sold 49,414 shares in open-market transactions at a weighted average price of $18.30, with individual sale prices between $18.07 and $18.47.

How many USCB (USCB) shares does the CEO hold after this Form 4 filing?

After the reported transactions, Luis De La Aguilera directly holds 242,945 shares of USCB Class A Voting Common Stock. In addition, he has 17,430 stock options remaining outstanding, providing further potential equity exposure through their future exercise.

What type of transaction is shown in this USCB (USCB) Form 4 for the CEO?

The Form 4 shows an exercise-and-sell pattern. The CEO exercised stock options to acquire 49,414 shares at $12.05 and then sold 49,414 shares in open-market trades at a weighted average of $18.30, converting option value into cash.

What is the price range of USCB (USCB) shares sold by the CEO in this filing?

The reported weighted average sale price is $18.30 per share. According to the footnote, the 49,414 shares were sold in multiple transactions at prices ranging from $18.07 to $18.47, inclusive, across the reported trades on the transaction date.

What are the key terms of the USCB (USCB) stock options exercised by the CEO?

The exercised stock options covered 49,414 underlying shares at a conversion or exercise price of $12.05 per share. These options vested one-third per year beginning on September 27, 2022, with the remaining 17,430 options expiring on September 27, 2031.

Does the USCB (USCB) CEO still hold unvested or restricted stock after this transaction?

Yes. A footnote states his holdings include several restricted stock grants, such as 27,632 restricted shares vesting one-third annually from January 27, 2027, plus additional restricted shares from earlier grants that began vesting in 2024, 2025, and 2026.