SEC Form 4 · accession 0001140361-16-084111
Sunshine Bancorp, Inc. · SBCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William E Pommerening
Director
Period of report
Oct 27, 2016
Accepted (ET)
Oct 31, 2016 · 3:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001599891
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 16,406 | D | ||
| Common Stock | holding | — | — | — | 7,500 | I | By SEP IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $14.35 | Oct 27, 2016 | A | 3,000 | A | Oct 27, 2017 | Oct 27, 2026 | Common Stock | 3,000 | 3,000 | D |
| Stock OptionsF2 | $13.96 | holding | — | — | — | Oct 29, 2015 | Oct 29, 2025 | Common Stock | 9,766 | 9,766 | D |
Explanation of responses
- F1Includes shares of restricted stock which vest at a rate of 20% per year commencing on October 29, 2015.
- F2Stock options vest at a rate of 20% per year commencing on October 29, 2015.
- F3Stock options vest at a rate of 20% per year commencing on October 27, 2017.