SEC Form 4 · accession 0001562180-17-003865
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 11, 2017
Accepted (ET)
Dec 13, 2017 · 4:32 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 12, 2017 | M | 3,403 | $6.77 | A | 22,294 | D | |
| Common Stock | Dec 12, 2017 | S | 3,403 | $8.7246 | D | 18,891 | D | |
| Common Stock | Dec 13, 2017 | M | 3,403 | $6.77 | A | 22,294 | D | |
| Common StockF1 | Dec 13, 2017 | S | 3,403 | $8.8286 | D | 18,891 | D | |
| Common Stock | Dec 11, 2017 | M | 1,918 | $7.10 | A | 19,994 | D | |
| Common Stock | Dec 11, 2017 | M | 210 | $6.77 | A | 20,204 | D | |
| Common Stock | Dec 11, 2017 | M | 1,273 | $6.18 | A | 21,477 | D | |
| Common Stock | Dec 11, 2017 | S | 1,534 | $9.0142 | D | 19,943 | D | |
| Common Stock | Dec 11, 2017 | S | 887 | $9.0142 | D | 19,056 | D | |
| Common Stock | Dec 11, 2017 | S | 165 | $9.0142 | D | 18,891 | 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 | $6.77 | Dec 12, 2017 | M | 3,403 | D | — | Feb 16, 2026 | Common Stock | 3,403 | 17,434 | D |
| Common Stock OptionF2 | $6.77 | Dec 13, 2017 | M | 3,403 | D | — | Feb 16, 2026 | Common Stock | 3,403 | 14,031 | D |
| Common Stock OptionF3 | $7.10 | Dec 11, 2017 | M | 1,918 | D | — | Feb 17, 2025 | Common Stock | 1,918 | 2,659 | D |
| Common Stock OptionF2 | $6.77 | Dec 11, 2017 | M | 210 | D | — | Feb 16, 2026 | Common Stock | 210 | 20,837 | D |
| Common Stock OptionF4 | $6.18 | Dec 11, 2017 | M | 1,273 | D | — | Mar 7, 2024 | Common Stock | 1,273 | 2,186 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $8.75 USD to $8.95 USD; the price reported above reflects the weighted average sale price.
- F23 Years Annually beginning on 16-Feb-2016
- F33 Years Annually beginning on 17-Feb-2015
- F45 Years Annually beginning on 07-Mar-2014