SEC Form 4 · accession 0001562180-17-003818
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 6, 2017
Accepted (ET)
Dec 8, 2017 · 5:00 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 8, 2017 | M | 1,396 | $6.24 | A | 18,362 | D | |
| Common Stock | Dec 8, 2017 | M | 2,005 | $6.18 | A | 20,367 | D | |
| Common Stock | Dec 8, 2017 | S | 946 | $9.1426 | D | 19,421 | D | |
| Common Stock | Dec 8, 2017 | S | 1,345 | $9.1426 | D | 18,076 | D | |
| Common Stock | Dec 6, 2017 | M | 3,401 | $6.24 | A | 18,397 | D | |
| Common Stock | Dec 6, 2017 | S | 2,254 | $9.70 | D | 16,143 | D | |
| Common Stock | Dec 7, 2017 | M | 3,401 | $7.10 | A | 19,544 | D | |
| Common StockF1 | Dec 7, 2017 | S | 2,578 | $9.5806 | D | 16,966 | 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 8, 2017 | M | 1,396 | D | — | Sep 3, 2023 | Common Stock | 1,396 | 0 | D |
| Common Stock OptionF3 | $6.18 | Dec 8, 2017 | M | 2,005 | D | — | Mar 7, 2024 | Common Stock | 2,005 | 3,459 | D |
| Common Stock OptionF2 | $6.24 | Dec 6, 2017 | M | 3,401 | D | — | Sep 3, 2023 | Common Stock | 3,401 | 1,396 | D |
| Common Stock OptionF4 | $7.10 | Dec 7, 2017 | M | 3,401 | D | — | Feb 17, 2025 | Common Stock | 3,401 | 4,577 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $9.55 USD to $9.65 USD; the price reported above reflects the weighted average sale price.
- F23 Years Annually beginning on 03-Sep-2013
- F35 Years Annually beginning on 07-Mar-2014
- F43 Years Annually beginning on 17-Feb-2015