SEC Form 4 · accession 0001140361-17-008988
Sunshine Bancorp, Inc. · SBCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James T Swann
Director
Period of report
Dec 23, 2016
Accepted (ET)
Feb 24, 2017 · 11:55 am EST
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 Stock | Dec 23, 2016 | S | 500 | $17.031 | D | 19,784 | I | By IRA |
| Common Stock | Dec 27, 2016 | S | 14,132 | $17.0065 | D | 5,652 | I | By IRA |
| Common Stock | Dec 30, 2016 | S | 352 | $17.00 | D | 5,300 | I | By IRA |
| Common Stock | Jan 3, 2017 | S | 300 | $17.00 | D | 5,000 | I | By IRA |
| Common Stock | Jan 4, 2017 | S | 5,000 | $17.2049 | D | 0 | I | By IRA |
| Common Stock | holding | — | — | — | 110,646 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $14.50 | holding | — | — | — | Oct 31, 2017 | Oct 31, 2026 | Common Stock | 3,000 | 3,000 | D |
| Stock Options | $10.41 | holding | — | — | — | Oct 31, 2016 | Jul 1, 2024 | Common Stock | 5,323 | 5,323 | D |
Explanation of responses
- F1Stock options vest at a rate of 20% per year commencing on October 31, 2017.