SEC Form 4/A · accession 0001620863-16-000113
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
Carol A Ward
Officer — EVP/Chief Operating Officer
Period of report
May 19, 2016
Accepted (ET)
Jun 9, 2016 · 1:22 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 | Jun 9, 2016 | J | 0 | $0.00 | A | 651 | D | |
| Common Stock | Jun 9, 2016 | J | 0 | $0.00 | A | 1,436 | I | By ESOP |
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,F3 | $0.00 | May 19, 2016 | A | 1,518 | A | — | May 19, 2020 | Common Stock | 1,518 | 3,490 | D |
| Restricted Stock UnitsF1,F4 | $0.00 | May 19, 2016 | A | 1,108 | A | — | May 18, 2017 | Common Stock | 1,108 | 4,598 | D |
| Performance Stock UnitsF1,F5 | $0.00 | May 19, 2016 | A | 1,518 | A | — | May 18, 2019 | Common Stock | 1,518 | 4,073 | D |
Explanation of responses
- F1This amended form is filed solely to report the previously reported grants of Restricted and Performance Stock Units in Table II rather than Table l and to the correct the total beneficial ownership of common stock reported in Table I.
- F2No transactions occurred among these shares. Intended only to reflect number of shares beneficially owned.
- F3Represents the grant of Restricted Stock Units. The shares vest as follows: 25% on May 19 2017, 25% on May 19, 2018, 25% on May 19, 2019, and 25% on May 19, 2019.
- F4Represents the grant of Restricted Stock Units. 100% of the shares vest on 5/18/2017.
- F5Represents performance-based restricted stock units (PSUs) that will vest between 0% and 150% of the target number of shares (the number of shares listed in box 4) on May 18, 2019 based on the Issuers total stockholder return relative to the KBW Regional Banking Index. The PSUs were issued to the Reporting Person pursuant to the Issuers 2009 Equity Incentive Plan and Performance Award Agreement and are subject to forfeitures, accelerated vesting and other restrictions as set forth in the plan and the agreement.