SEC Form 4/A · accession 0001620863-15-000054
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael W Koehnen
Director
Period of report
Aug 10, 2015
Accepted (ET)
Aug 19, 2015 · 7:03 pm EDT
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 | Aug 10, 2015 | M | 1,019 | — | A | 54,307 | D | |
| Common StockF4 | Aug 19, 2015 | J | 0 | $0.00 | A | 24,202 | D | |
| Common Stock | Aug 19, 2015 | J | 0 | $0.00 | A | 8,600 | I | CF Koehnen & Sons Profit Sharing which I am a Trustee. |
| Common Stock | Aug 19, 2015 | J | 0 | $0.00 | A | 4,400 | I | Mother which I am a Trustee. |
| Common Stock | Aug 19, 2015 | J | 0 | $0.00 | A | 1,700 | I | By children |
| Common StockF4 | Aug 19, 2015 | J | 0 | $0.00 | A | 65,214 | I | CF Koehnen & Sons of which I am an owner. |
| Common Stock | Aug 19, 2015 | J | 0 | $0.00 | A | 2,300 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Aug 10, 2015 | M | 1,019 | D | — | — | Common Stock | 1,019 | 1,005 | D |
Explanation of responses
- F1Result of vesting of an RSU granted on August 11, 2014 that vested on August 10, 2015.
- F2Amended to reflect the correct number of Shares Beneficially owned.
- F3No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned.
- F4Shares Held with Broker.