SEC Form 4 · accession 0001562180-16-002094
PACIFIC MERCANTILE BANCORP · PMBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy A Gray
Officer — CFO
Period of report
Jul 29, 2015
Accepted (ET)
Apr 5, 2016 · 6:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001109546
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 29, 2015 | M | 1,000 | $5.36 | A | 1,000 | D | |
| Common StockF1 | Oct 29, 2015 | S | 1,000 | $6.70 | D | 0 | D | |
| Common Stock | Nov 4, 2015 | M | 5 | $5.36 | A | 5 | D | |
| Common Stock | Nov 4, 2015 | S | 5 | $6.85 | D | 0 | D | |
| Common Stock | Nov 5, 2015 | M | 1,100 | $5.36 | A | 1,100 | D | |
| Common StockF2 | Nov 5, 2015 | S | 1,100 | $6.6509 | D | 0 | D | |
| Common Stock | Nov 6, 2015 | M | 900 | $5.36 | A | 900 | D | |
| Common Stock | Nov 6, 2015 | M | 1,995 | $5.36 | A | 1,995 | D | |
| Common StockF3 | Nov 6, 2015 | S | 900 | $6.65 | D | 0 | D | |
| Common StockF4 | Nov 6, 2015 | S | 1,995 | $6.60 | D | 0 | D | |
| Common Stock | Nov 9, 2015 | M | 535 | $2.97 | A | 535 | D | |
| Common StockF5 | Nov 9, 2015 | S | 535 | $6.64 | D | 0 | D | |
| Common Stock | Nov 23, 2015 | M | 1,000 | $2.97 | A | 1,000 | D | |
| Common StockF6 | Nov 23, 2015 | S | 1,000 | $6.7061 | D | 0 | D | |
| Common Stock | Dec 1, 2015 | M | 1,500 | $2.97 | A | 1,500 | D | |
| Common StockF7 | Dec 1, 2015 | S | 1,500 | $6.81 | D | 0 | D | |
| Common Stock | Dec 10, 2015 | M | 1,500 | $3.48 | A | 1,500 | D | |
| Common Stock | Dec 10, 2015 | S | 1,500 | $7.03 | D | 0 | D | |
| Common Stock | Dec 14, 2015 | M | 1,500 | $3.48 | A | 1,500 | D | |
| Common StockF8 | Dec 14, 2015 | S | 1,500 | $7.0055 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF9 | $2.97 | Jul 29, 2015 | M | 700 | D | — | Mar 16, 2020 | Common Stock | 700 | 19,300 | D |
| Common Stock OptionF9 | $2.97 | Aug 3, 2015 | M | 385 | D | — | Mar 16, 2020 | Common Stock | 385 | 18,915 | D |
| Common Stock OptionF9 | $2.97 | Aug 3, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 17,915 | D |
| Common Stock OptionF9 | $2.97 | Aug 4, 2015 | M | 922 | D | — | Mar 16, 2020 | Common Stock | 922 | 16,993 | D |
| Common Stock OptionF9 | $2.97 | Aug 12, 2015 | M | 927 | D | — | Mar 16, 2020 | Common Stock | 927 | 16,066 | D |
| Common Stock OptionF9 | $2.97 | Aug 17, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 15,066 | D |
| Common Stock OptionF9 | $2.97 | Aug 17, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 14,066 | D |
| Common Stock OptionF9 | $2.97 | Aug 20, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 13,066 | D |
| Common Stock OptionF9 | $2.97 | Aug 25, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 12,066 | D |
| Common Stock OptionF9 | $2.97 | Aug 26, 2015 | M | 528 | D | — | Mar 16, 2020 | Common Stock | 528 | 11,538 | D |
| Common Stock OptionF9 | $2.97 | Aug 28, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 10,538 | D |
| Common Stock OptionF9 | $5.36 | Oct 29, 2015 | M | 1,000 | D | — | Apr 19, 2022 | Common Stock | 1,000 | 4,000 | D |
| Common Stock OptionF9 | $5.36 | Nov 4, 2015 | M | 5 | D | — | Apr 19, 2022 | Common Stock | 3,995 | 3,995 | D |
| Common Stock OptionF9 | $5.36 | Nov 5, 2015 | M | 1,100 | D | — | Apr 19, 2022 | Common Stock | 1,100 | 2,895 | D |
| Common Stock OptionF9 | $5.36 | Nov 6, 2015 | M | 900 | D | — | Apr 19, 2022 | Common Stock | 900 | 1,995 | D |
| Common Stock OptionF9 | $5.36 | Nov 6, 2015 | M | 1,995 | D | — | Apr 19, 2022 | Common Stock | 1,995 | 0 | D |
| Common Stock OptionF10 | $2.97 | Nov 9, 2015 | M | 535 | D | — | Mar 16, 2020 | Common Stock | 535 | 10,003 | D |
| Common Stock OptionF10 | $2.97 | Nov 23, 2015 | M | 1,000 | D | — | Mar 16, 2020 | Common Stock | 1,000 | 9,003 | D |
| Common Stock OptionF10 | $2.97 | Dec 1, 2015 | M | 1,500 | D | — | Mar 16, 2020 | Common Stock | 1,500 | 7,503 | D |
| Common Stock OptionF11 | $3.48 | Dec 10, 2015 | M | 1,500 | D | — | Oct 28, 2018 | Common Stock | 1,500 | 8,500 | D |
| Common Stock OptionF11 | $3.48 | Dec 14, 2015 | M | 1,500 | D | — | Oct 28, 2018 | Common Stock | 1,500 | 7,000 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $6.70 USD to $6.70 USD; the price reported above reflects the weighted average sale price.
- F103 Years Monthly beginning on 16-Mar-2010
- F115 Years Annually beginning on 28-Oct-2008
- F2This transaction was executed in multiple trades at prices ranging from $6.65 USD to $6.6601 USD; the price reported above reflects the weighted average sale price.
- F3This transaction was executed in multiple trades at prices ranging from $6.65 USD to $6.65 USD; the price reported above reflects the weighted average sale price.
- F4This transaction was executed in multiple trades at prices ranging from $6.60 USD to $6.60 USD; the price reported above reflects the weighted average sale price.
- F5This transaction was executed in multiple trades at prices ranging from $6.64 USD to $6.64 USD; the price reported above reflects the weighted average sale price.
- F6This transaction was executed in multiple trades at prices ranging from $6.7001 USD to $6.7201 USD; the price reported above reflects the weighted average sale price.
- F7This transaction was executed in multiple trades at prices ranging from $6.81 USD to $6.81 USD; the price reported above reflects the weighted average sale price.
- F8This transaction was executed in multiple trades at prices ranging from $7.001 USD to $7.02 USD; the price reported above reflects the weighted average sale price.
- F93 Years Monthly beginning on 19-Apr-2012