SEC Form 4 · accession 0001620863-17-000079
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel K Bailey
Officer — EVP/Retail Banking
Period of report
Aug 22, 2017
Accepted (ET)
Aug 23, 2017 · 3:04 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 22, 2017 | M | 2,300 | — | A | 29,920 | D | |
| Common Stock | Aug 22, 2017 | F | 1,176 | $35.66 | D | 28,744 | D | |
| Common Stock | Aug 23, 2017 | J | 0 | $0.00 | A | 7,129 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF1 | — | Aug 22, 2017 | M | 2,300 | D | — | — | Common Stock | 2,300 | 4,400 | D |
Explanation of responses
- F1Each performance-based restricted stock unit represented the right to receive 0%-150% of the target number of shares (which was reported in the original Form 4 for this grant, which was 1,533 shares) based on the Issuer's total stockholder return relative to the KBW Regional Banking Index.
- F2No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned.