ROTHMAN NOEL N

PrivateCIK: 1195903

ROTHMAN NOEL N exercised options at COBIZ FINANCIAL INC

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 4 exercises

ROTHMAN NOEL N

Filed: 5/17/2018ACC: 0001028734-18-000089

InsiderROTHMAN NOEL NCIK 1195903

→

IssuerCOBIZ FINANCIAL INCCIK 1028734

Director

Since Oct 2018

0.00

Net shares

Net seller

$40.9K

Total acquired

0

Open market trades

0B · 0S

8

Total transactions

4K acquired · 4K disposed

Non-Derivative Transactions4

Common Stock

Direct

M · Option Exercise

Shares

+1K

Price / share

$13.61

Trade value

$13.61K

% of position

0.1%

5/15/2018

1.27M→1.27M

Common Stock

Direct

M · Option Exercise

Shares

+1K

Price / share

$11.08

Trade value

$11.08K

% of position

0.1%

5/15/2018

1.27M→1.27M

Common Stock

Direct

M · Option Exercise

Shares

+1K

Price / share

$9.56

Trade value

$9.56K

% of position

0.1%

5/15/2018

1.27M→1.27M

Common Stock

Direct

M · Option Exercise

Shares

+1K

Price / share

$6.62

Trade value

$6.62K

% of position

0.1%

5/15/2018

1.27M→1.27M

Total

Net shares

+4K

Net value

$40.87K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	5/15/2018	M · Option Exercise	+1K	$13.61	$13.61K	0.1%	1.27M	1.27M
Common Stock Direct	5/15/2018	M · Option Exercise	+1K	$11.08	$11.08K	0.1%	1.27M	1.27M
Common Stock Direct	5/15/2018	M · Option Exercise	+1K	$9.56	$9.56K	0.1%	1.27M	1.27M
Common Stock Direct	5/15/2018	M · Option Exercise	+1K	$6.62	$6.62K	0.1%	1.27M	1.27M
Total			+4K		$40.87K

Derivative Transactions4

Non-Qualified Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

1K shares

Shares

−1K

Strike price

6.62

Held after

0.00

Exercisable

—

5/15/2018

Non-Qualified Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

1K shares

Shares

−1K

Strike price

9.56

Held after

0.00

Exercisable

—

5/15/2018

Non-Qualified Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

1K shares

Shares

−1K

Strike price

11.08

Held after

0.00

Exercisable

—

5/15/2018

Non-Qualified Stock Option (right to buy)

Direct

M · Option Exercise

Converts to

Common Stock

1K shares

Shares

−1K

Strike price

13.61

Held after

0.00

Exercisable

—

5/15/2018

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Non-Qualified Stock Option (right to buy) Direct	Common Stock1K shares	5/15/2018	M · Option Exercise	−1K	6.62	—	0.00
Non-Qualified Stock Option (right to buy) Direct	Common Stock1K shares	5/15/2018	M · Option Exercise	−1K	9.56	—	0.00
Non-Qualified Stock Option (right to buy) Direct	Common Stock1K shares	5/15/2018	M · Option Exercise	−1K	11.08	—	0.00
Non-Qualified Stock Option (right to buy) Direct	Common Stock1K shares	5/15/2018	M · Option Exercise	−1K	13.61	—	0.00

Non-Derivative Holdings (Post-Transaction)4

Common Stock

Indirect

Shares owned148.22K

Common Stock

Indirect

Shares owned325.00

Common Stock

Indirect

Shares owned56.88K

Common Stock

Indirect

Shares owned177.94K

Total

383.37K indirect383.37K

Security Title	Shares Owned	Ownership Type
Common Stock	148.22K	Indirect
Common Stock	325.00	Indirect
Common Stock	56.88K	Indirect
Common Stock	177.94K	Indirect
Total	383.37K	383.37K indirect

Derivative Holdings (Post-Transaction)0

No derivative holdings reported

ROTHMAN NOEL N — Insider Transaction (Form 4) Filed May 17, 2018 | Finecho