Amended Statement of Changes in Beneficial Ownership (4/a)
08 Septembre 2022 - 1:36AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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ILLGEN JOHN D |
2. Issuer Name and Ticker or Trading Symbol
COMMUNITY WEST BANCSHARES /
[
CWBC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
445 PINE AVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/14/2022 |
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(Street)
GOLETA, CA 93117
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/14/2022 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 6/14/2022 | | M(1) | | 5000 | A | $3.25 | 32287 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 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 |
| Stock Option (right to buy) | $3.25 | 6/14/2022 | | M | | 5000 | | 12/13/2012 | 12/31/2022 | Common Stock | 5000 | $0 | 0 | D | |
| Stock Option (right to buy) | $7.19 | | | | | | | 2/27/2014 (2) | 2/27/2024 | Common Stock | 5000 (2) | | 5000 | D | |
| Stock Option (right to buy) | $6.53 | | | | | | | 4/23/2015 (3) | 4/23/2025 | Common Stock | 5000 (3) | | 5000 | D | |
| Stock Option (right to buy) | $10.10 | | | | | | | 8/24/2017 (4) | 8/24/2027 | Common Stock | 5000 (4) | | 5000 | D | |
| Stock Option (right to buy) | $11.50 | | | | | | | 10/25/2018 (5) | 10/25/2028 | Common Stock | 3000 (5) | | 3000 | D | |
| Stock Option (right to buy) | $6.71 | | | | | | | 4/29/2020 (6) | 4/29/2030 | Common Stock | 3000 (6) | | 3000 | D | |
| Restricted Stock Award | $0 | | | | | | | 11/18/2021 (7) | 11/18/2031 | Common Stock | 500 (7) | | 500 | D | |
| Explanation of Responses: |
| (1) | On June 14, 2022, the Reporting Person filed a Form 4 which inadvertently included an incorrect Transaction Code. This amendment is being filed solely to: (i) correct the Transaction Code applicable to the acquisition of shares of common stock set forth in Table I; (ii) add the related disposition of stock options pursuant to the exercise thereof in Table II; and (iii) add additional stock option holdings. |
| (2) | The option was granted on February 27, 2014 and vests as follows: 100% immediately. |
| (3) | The option was granted on April 23, 2015 and vests as follows: 100% immediately. |
| (4) | The option was granted on August 24, 2017 and vests as follows:100% immediately |
| (5) | The option was granted on October 25, 2018 and vests as follows: 100% immediately. |
| (6) | The option was granted on April 29, 2020 and vests as follows: 100% immediately. |
| (7) | Restricted stock award was granted on November 18, 2021 and vests as follows: 100% immediately. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
ILLGEN JOHN D
445 PINE AVE
GOLETA, CA 93117 | X |
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Signatures
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| Nadia Young for John D. Illgen | | 9/7/2022 |
| **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 control number. |
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