SEC Form 5 · accession 0001415889-15-000583
BANC OF CALIFORNIA, INC. · BANC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C. Grosvenor
Officer — EVP AND GENERAL COUNSEL
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 7:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001169770
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 2, 2014 | A | 127 | $13.0077 | A | 24,503 | D | |
| Common Stock | Apr 1, 2014 | A | 133 | $11.9019 | A | 24,503 | D | |
| Common Stock | Jul 1, 2014 | A | 38 | $10.573 | A | 24,503 | D | |
| Common Stock | Oct 1, 2014 | A | 47 | $11.2811 | A | 24,503 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $12.24 | holding | — | — | — | — | Aug 22, 2022 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan.
- F2One-third of the options vested on August 22, 2013 and on August 22, 2014, respectively. The remaining one-third is scheduled to vest on August 14, 2015.