SEC Form 4 · accession 0001562180-17-003747
PACIFIC MERCANTILE BANCORP · PMBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kittridge Chamberlain
Officer — EVP Corporate Finance
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 6:47 pm EST
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 | Dec 1, 2017 | M | 3,401 | $6.24 | A | 14,968 | D | |
| Common Stock | Dec 1, 2017 | S | 2,301 | $9.6194 | D | 12,667 | D | |
| Common Stock | Dec 4, 2017 | M | 3,401 | $6.24 | A | 16,068 | D | |
| Common Stock | Dec 4, 2017 | S | 2,231 | $9.7849 | D | 13,837 | D | |
| Common Stock | Dec 5, 2017 | M | 3,401 | $6.24 | A | 17,238 | D | |
| Common StockF1 | Dec 5, 2017 | S | 2,242 | $9.7715 | D | 14,996 | 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 OptionF2 | $6.24 | Dec 1, 2017 | M | 3,401 | D | — | Sep 3, 2023 | Common Stock | 3,401 | 11,599 | D |
| Common Stock OptionF2 | $6.24 | Dec 4, 2017 | M | 3,401 | D | — | Sep 3, 2023 | Common Stock | 3,401 | 8,198 | D |
| Common Stock OptionF2 | $6.24 | Dec 5, 2017 | M | 3,401 | D | — | Sep 3, 2023 | Common Stock | 3,401 | 4,797 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $9.70 USD to $9.80 USD; the price reported above reflects the weighted average sale price.
- F23 Years Annually beginning on 03-Sep-2013