SEC Form 4 · accession 0001620863-16-000148
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
Nov 28, 2016
Accepted (ET)
Nov 29, 2016 · 1:50 pm EST
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 | Nov 28, 2016 | M | 49,000 | $22.54 | A | 219,196 | D | |
| Common Stock | Nov 28, 2016 | F | 42,705 | $31.34 | D | 176,391 | D | |
| Common Stock | Nov 28, 2016 | M | 2,000 | $15.40 | A | 178,491 | D | |
| Common Stock | Nov 28, 2016 | F | 1,533 | $31.34 | D | 176,958 | D | |
| Common Stock | Nov 29, 2016 | J | 0 | $0.00 | A | 30,792 | I | By ESOP |
| Common Stock | Nov 29, 2016 | J | 0 | $0.00 | A | 217 | 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 | $22.54 | Nov 28, 2016 | M | 49,000 | D | May 22, 2008 | May 22, 2017 | Common Stock | 49,000 | 217,000 | D |
| Option Common Stock | $15.40 | Nov 28, 2016 | M | 2,000 | D | May 20, 2009 | May 20, 2018 | Common Stock | 2,000 | 215,000 | D |
Explanation of responses
- F1No transactions occurred among these shares. Intended only to reflect number of shares beneficially owned.