SEC Form 4 · accession 0001620863-17-000076
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P Smith
Officer — CEO & President · Director
Period of report
Aug 11, 2017
Accepted (ET)
Aug 14, 2017 · 5:45 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 | Aug 11, 2017 | M | 1,330 | — | A | 179,742 | D | |
| Common Stock | Aug 11, 2017 | F | 637 | $36.34 | D | 179,105 | D | |
| Common Stock | Aug 14, 2017 | J | 0 | $0.00 | A | 220 | I | By Spouse |
| Common Stock | Aug 11, 2017 | J | 0 | $0.00 | A | 32,197 | 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 UnitF1 | — | Aug 11, 2017 | M | 1,330 | D | — | — | Common Stock | 1,330 | 12,493 | D |
Explanation of responses
- F1Result of vesting of an RSU granted on August 11th, 2016 that was vested on August 11th, 2017
- F2No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned.