SEC Form 4 · accession 0001620863-15-000002
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Reddish
Officer — EVP, Chief Financial Officer
Period of report
Feb 11, 2015
Accepted (ET)
Feb 12, 2015 · 1:24 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 StockF1,F2 | Feb 11, 2015 | A | 7,330 | $19.35 | A | 73,304 | D | |
| Common StockF3,F2 | Feb 11, 2015 | F | 5,976 | $23.73 | D | 67,328 | D | |
| Common StockF4,F2 | Feb 11, 2015 | F | 686 | $23.73 | D | 66,642 | D | |
| Common StockF5,F2 | Feb 11, 2015 | F | 2,177 | $23.73 | D | 64,465 | D | |
| Common StockF2 | Feb 11, 2015 | A | 2,670 | $19.35 | A | 67,135 | 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 11, 2015 | M | 7,330 | D | Feb 22, 2006 | Feb 22, 2015 | Common Stock | 7,330 | 116,270 | D |
| Option Common Stock | $19.35 | Feb 11, 2015 | M | 2,670 | D | Feb 22, 2006 | Feb 22, 2015 | Common Stock | 2,670 | 113,600 | D |
Explanation of responses
- F1Represents shares acquired via Nonqualified Stock Option exercise using the pyramid method.
- F2Common Stock owned includes 20,843.07 shares held in the Issuer's Employee Stock Ownership Plan.
- F3Represents shares used to exercise Nonqualified Stock Options via the pyramid method.
- F4Represents shares withheld to pay for tax liability after exercise of Nonqualified Stock Options.
- F5Represents shares tendered to pay price to exercise Incentive Stock Options.