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

USCB Financial (NASDAQ: USCB) CEO sells 5,279 shares after exercising options

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

Rhea-AI Filing Summary

USCB Financial Holdings President and CEO Luis de la Aguilera reported an option exercise and related share sale. He sold 5,279 shares of Class A Voting Common Stock in an open-market sale at a weighted average price of $18.27 per share.

On the same date, he exercised stock options to acquire 5,279 shares at an exercise price of $12.05 per share. After these transactions, he directly owns 242,945 shares of common stock and holds 154,721 stock options, which began vesting in thirds starting on September 27, 2022.

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Insider DE LA AGUILERA LUIS
Role President and CEO
Sold 5,279 shs ($96K)
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 5,279 $0.00 --
Exercise Class A Voting Common Stock 5,279 $12.05 $64K
Sale Class A Voting Common Stock 5,279 $18.27 $96K
Holdings After Transaction: Stock Option (Right to Buy) — 154,721 shares (Direct, null); Class A Voting Common Stock — 248,224 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 $18.09 to $18.50, 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 5,279 shares Class A Voting Common Stock open-market sale on May 11, 2026
Weighted average sale price $18.27 per share Open-market sale across trades from $18.09 to $18.50
Options exercised 5,279 shares Stock Option (Right to Buy) exercise at $12.05 per share
Exercise price $12.05 per share Conversion or exercise price for exercised stock options
Shares owned after 242,945 shares Direct Class A Voting Common Stock holdings following transactions
Options remaining after 154,721 options Stock Option (Right to Buy) balance after 5,279 exercised
Option expiration date September 27, 2031 Expiration for the reported stock option grant
open-market sale financial
"Sale in open market or private transaction"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
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"
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."
derivative exercise/conversion financial
"transaction_action: derivative exercise/conversion"
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)
05/11/2026		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 Stock05/11/2026M5,279A$12.05248,224(1)D
Class A Voting Common Stock05/11/2026S5,279D$18.27(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)$12.0505/11/2026M5,27909/27/2022(3)09/27/2031Common Stock5,279$0154,721D
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 $18.09 to $18.50, 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 Aguilera05/13/2026
** 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 transaction did USCB (USCB) CEO Luis de la Aguilera report?

He reported an option exercise and a related share sale. On May 11, 2026, he exercised stock options for 5,279 shares at $12.05 and sold 5,279 Class A Voting Common shares in an open-market transaction at a weighted average price of $18.27.

How many USCB (USCB) shares did the CEO sell and at what price?

He sold 5,279 shares of Class A Voting Common Stock. The sale occurred in multiple transactions at prices ranging from $18.09 to $18.50, resulting in a weighted average sale price of $18.27 per share for the reported transaction.

What stock options did the USCB (USCB) CEO exercise in this Form 4?

He exercised options covering 5,279 underlying shares of common stock. These stock options carried a conversion or exercise price of $12.05 per share, vested in thirds beginning September 27, 2022, and are set to expire on September 27, 2031 if not exercised.

What are Luis de la Aguilera’s USCB (USCB) direct share holdings after the transactions?

He directly holds 242,945 shares of common stock after the transactions. This figure reflects his direct ownership of Class A Voting Common Stock reported in the Form 4 following the May 11, 2026 option exercise and open-market sale of 5,279 shares.

How many USCB (USCB) stock options does the CEO hold after exercising some?

He holds 154,721 stock options after the reported exercise. These remaining Stock Options (Right to Buy) relate to underlying common stock, with the exercised portion of 5,279 options priced at $12.05 and expiring on September 27, 2031 if not exercised.

What does the Form 4 say about the price range for the USCB (USCB) share sale?

The reported price is a weighted average of multiple trades. The Form 4 notes that the 5,279 shares were sold in several transactions at prices ranging from $18.09 to $18.50, with a weighted average sale price of $18.27 per share.