SEC Form 4 · accession 0001028918-18-000003
PACIFIC PREMIER BANCORP INC · PPBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E. Pfau
Director
Period of report
Dec 31, 2017
Accepted (ET)
Jan 3, 2018 · 8:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001028918
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| PPBI Common StockF1,F2,F3 | Dec 31, 2017 | A | 375 | $40.00 | A | 30,810 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options on PPBI Common StockF4 | $33.08 | holding | — | — | — | — | Feb 1, 2018 | PPBI Common Stock | 911 | 911 | D |
| Options on PPBI Common StockF4 | $12.97 | holding | — | — | — | — | Feb 2, 2019 | PPBI Common Stock | 867 | 867 | D |
| Options on PPBI Common StockF4 | $8.94 | holding | — | — | — | — | Sep 1, 2020 | PPBI Common Stock | 2,603 | 2,603 | D |
Explanation of responses
- F1Shares issued to the reporting person in lieu of meeting fees of $15,000.00.
- F2Restricted stock which vests in full on March 31, 2018.
- F3Includes 375 shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant.
- F4All options became immediately vested and exercisable as of 4/1/2017.