SEC Form 4 · accession 0001620863-16-000090
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 16, 2016
Accepted (ET)
May 17, 2016 · 4:40 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 Stock | May 16, 2016 | M | 4,000 | $25.91 | A | 171,512 | D | |
| Common Stock | May 16, 2016 | F | 3,891 | $26.79 | D | 167,621 | D | |
| Common Stock | May 16, 2016 | M | 45,000 | $24.46 | A | 212,621 | D | |
| Common Stock | May 16, 2016 | F | 43,145 | $26.79 | D | 169,476 | D | |
| Common Stock | May 17, 2016 | J | 0 | $0.00 | A | 30,792 | I | By ESOP |
| Common Stock | May 17, 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Common Stock | $25.91 | May 16, 2016 | M | 4,000 | D | May 23, 2007 | May 23, 2016 | Common Stock | 4,000 | 311,000 | D |
| Option Common Stock | $24.46 | May 16, 2016 | M | 45,000 | D | Aug 22, 2007 | Aug 22, 2016 | Common Stock | 45,000 | 266,000 | D |
Explanation of responses
- F1No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned.