SEC Form 5 · accession 0001415889-19-000170
BANC OF CALIFORNIA, INC. · BANC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hugh F Boyle
Officer — CHIEF RISK OFFICER
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 5:05 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, 2018 | A | 293 | $20.03 | A | 92,152 | D | |
| Common Stock | Apr 2, 2018 | A | 315 | $18.72 | A | 92,152 | D | |
| Common Stock | Jul 2, 2018 | A | 460 | $18.96 | A | 92,152 | D | |
| Common Stock | Oct 1, 2018 | A | 479 | $18.33 | A | 92,152 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $13.83 | holding | — | — | — | — | Sep 30, 2023 | Common Stock | 25,000 | 25,000 | D |
| Stock Option | $13.29 | holding | — | — | — | Apr 1, 2016 | May 15, 2025 | Common Stock | 48,000 | 48,000 | D |
Explanation of responses
- F1Shares were acquired pursuant to the Issuer's Dividend Reinvestment Plan.
- F2The stock option vests 20% annually, beginning on the one year anniversary of the grant date.