SEC Form 4 · accession 0001562180-16-001234
PACIFIC MERCANTILE BANCORP · PMBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Vertin
Officer — President and CEO
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2016 · 2:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109546
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF1 | $7.08 | Jan 4, 2016 | A | 71,689 | A | — | Jan 4, 2026 | Common Stock | 71,689 | 71,689 | D |
| Common Stock OptionF2 | $7.08 | Jan 4, 2016 | A | 28,311 | A | — | Jan 4, 2026 | Common Stock | 28,311 | 100,000 | D |
Explanation of responses
- F1Vests 25,047 share(s) on 04-Jan-2017, 25,048 share(s) on 04-Jan-2018, 21,594 share(s) on 04-Jan-2019
- F2Vests 8,286 share(s) on 04-Jan-2017, 8,286 share(s) on 04-Jan-2018, 11,739 share(s) on 04-Jan-2019