SEC Form 4 · accession 0001620863-15-000001
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Rios
Officer — SVP, Chief Technology Officer
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 12:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000356171
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Feb 10, 2015 | F | 1,225 | $23.69 | D | 15,200 | D | |
| Common StockF1 | Feb 10, 2015 | A | 1,500 | $19.35 | A | 16,700 | D | |
| Common StockF3,F1 | Feb 10, 2015 | F | 97 | $23.69 | D | 16,603 | D | |
| Common StockF4,F1 | Feb 10, 2015 | F | 4,900 | $23.69 | D | 11,703 | D | |
| Common StockF1 | Feb 10, 2015 | A | 6,000 | $19.35 | A | 17,703 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Common Stock | $19.35 | Feb 10, 2015 | M | 1,500 | D | Feb 22, 2005 | Feb 22, 2015 | Common Stock | 1,500 | 52,400 | D |
| Option Common Stock | $19.35 | Feb 10, 2015 | M | 6,000 | D | Feb 22, 2006 | Feb 22, 2015 | Common Stock | 6,000 | 46,400 | D |
Explanation of responses
- F1Common Stock owned includes 5,635.26 shares held in the Issuer's Employee Stock Ownership Plan.
- F2Represents shares tendered to exercise Nonqualified Stock Options.
- F3Represents shares withheld to pay for tax liability after exercise of Nonqualified Stock Options.
- F4Represents shares tendered to pay price to exercise Incentive Stock Options.