Initial Statement of Beneficial Ownership (3)
02 Mayo 2016 - 10:33AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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0.5
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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
*
Andree Don
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/28/2015
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3. Issuer Name
and
Ticker or Trading Symbol
Cordia Bancorp Inc [BVA]
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(Last)
(First)
(Middle)
11730 HULL STREET ROAD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP & Chief Lending Officer /
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(Street)
MIDLOTHIAN, VA 32112
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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13365.0000
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D
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Common Stock
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30000.0000
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I
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Restricted Stock
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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3/27/2014
(2)
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3/27/2023
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Common Stock
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3984.0000
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$5.3500
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D
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Stock Option (right to buy)
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8/24/2012
(3)
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8/24/2021
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Common Stock
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3984.0000
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$11.2950
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D
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Explanation of Responses:
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(
1)
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The Reporting Person was granted 40,000 shares of restricted stock on January 28, 2015, which shares vest in four equal annual installments commencing on the first anniversary of the date of the award. The first installment of 10,000 restricted shares vested on Janaury 28, 2016 and are now held directly.
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(
2)
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Stock options vest in four equal annual installments beginning on March 27, 2014, the first anniversary of the date of the grant.
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(
3)
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Stock options are fully vested and exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Andree Don
11730 HULL STREET ROAD
MIDLOTHIAN, VA 32112
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EVP & Chief Lending Officer
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Signatures
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/s/ Don Andree
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4/7/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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