SEC Form 4 · accession 0001620863-16-000114
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carol A Ward
Officer — EVP/Chief Operating Officer
Period of report
Jun 7, 2016
Accepted (ET)
Jun 9, 2016 · 2:00 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 7, 2016 | M | 12,000 | $14.76 | A | 12,651 | D | |
| Common Stock | Jun 7, 2016 | F | 9,194 | $28.59 | D | 3,457 | D | |
| Common Stock | Jun 7, 2016 | M | 6,600 | $19.46 | A | 10,057 | D | |
| Common Stock | Jun 7, 2016 | F | 5,462 | $28.59 | A | 4,595 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Common Stock | $14.76 | Jun 7, 2016 | M | 12,000 | D | Jul 24, 2013 | Jul 24, 2022 | Common Stock | 12,000 | 19,000 | D |
| Option Common Stock | $19.46 | Jun 7, 2016 | M | 6,600 | D | May 9, 2014 | May 9, 2023 | Common Stock | 6,600 | 12,400 | D |
Explanation of responses
- F1No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned.