President and CEO De La Aguilera Luis exercised 30,000 units of Class A Voting Common Stock at a strike of $7.50 and sold $502,200 worth of Class A Voting Common Stock (30,000 units at $16.74) (SEC Form 4)
$USCB
Major Banks
Finance
| 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 |
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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). | |||||||||||||||||
| 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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
USCB FINANCIAL HOLDINGS, INC. [ USCB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/21/2025 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | ||||||
| Class A Voting Common Stock | 05/21/2025 | M | 5,000 | A | $7.5 | 243,974(1) | D | |||
| Class A Voting Common Stock | 05/21/2025 | S | 5,000 | D | $16.94(2) | 238,974(1) | D | |||
| Class A Voting Common Stock | 05/22/2025 | M | 25,000 | A | $7.5 | 263,974(1) | D | |||
| Class A Voting Common Stock | 05/22/2025 | S | 25,000 | D | $16.7(3) | 238,974(1) | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 | ||||||||
| Stock Option (Right to Buy) | $7.5 | 05/21/2025 | M | 5,000 | 04/01/2017(4) | 04/01/2026 | Common Stock | 40,000 | $0 | 35,000 | D | ||||
| Stock Option (Right to Buy) | $7.5 | 05/22/2025 | M | 25,000 | 04/01/2017(4) | 04/01/2026 | Common Stock | 35,000 | $0 | 10,000 | D | ||||
| Stock Option (Right to Buy) | $11.35 | 09/23/2020(5) | 09/23/2029 | Common Stock | 40,000 | 40,000 | D | ||||||||
| Stock Option (Right to Buy) | $12.05 | 09/27/2022(6) | 09/27/2031 | Common Stock | 160,000 | 160,000 | D | ||||||||
| Explanation of Responses: |
| 1. Includes a grant of 25,653 shares of restricted stock which vest at a rate of one-third per year commencing on January 21, 2026, 8,090 shares of unvested restricted stock from a grant of 12,136 shares which commenced vesting at a rate of one-third per year on January 22, 2025, 7,892 shares of unvested restricted stock from a grant of 23,678 shares which commenced vesting at a rate of one-third per year on March 8, 2024, and 125,000 shares of restricted stock one-third of which vested on December 31, 2024 and the remaining two-thirds vest pro rata on December 31, 2025 and 2026. |
| 2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.81 to $17.00, inclusive. The reporting person undertakes to provide to USCB, 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 ranges set forth in footnotes (2) and (3). |
| 3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.56 to $16.85, inclusive. |
| 4. The stock options vested at the rate of 25% per year commencing on April 1, 2017. |
| 5. The stock options vested at the rate of one-third per year commencing on September 23, 2020. |
| 6. 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 Aguilera | 05/23/2025 | |
| ** 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. | ||