SEC Form 4 · accession 0001620863-16-000084
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P Smith
Officer — President & CEO · Director
Period of report
May 7, 2016
Accepted (ET)
May 9, 2016 · 2:08 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 | May 7, 2016 | M | 1,422 | — | A | 168,164 | D | |
| Common Stock | May 7, 2016 | F | 652 | $26.44 | D | 167,512 | D | |
| Common Stock | May 9, 2016 | J | 0 | $0.00 | A | 30,792 | I | By ESOP |
| Common Stock | May 9, 2016 | J | 0 | $0.00 | A | 215 | 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 | — | May 7, 2016 | M | 1,422 | D | — | — | Common Stock | 1,422 | 8,164 | D |
Explanation of responses
- F1Result of vesting of an RSU granted on May 7, 2015 that was vested on May 7, 2016.
- F2No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned.