SEC Form 4 · accession 0001620863-17-000085
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
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 6:14 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 | Sep 5, 2017 | M | 12,000 | $15.40 | A | 194,486 | D | |
| Common Stock | Sep 5, 2017 | F | 8,965 | $34.50 | D | 185,521 | D | |
| Common Stock | Sep 5, 2017 | M | 4,000 | $17.54 | A | 189,521 | D | |
| Common Stock | Sep 5, 2017 | F | 3,101 | $34.50 | D | 186,420 | D | |
| Common Stock | Sep 6, 2017 | J | 0 | $0.00 | A | 220 | I | By Spouse |
| Common Stock | Sep 6, 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Common Stock | $15.40 | Sep 5, 2017 | M | 12,000 | D | May 20, 2013 | May 20, 2018 | Common Stock | 12,000 | 187,000 | D |
| Option Common Stock | $17.54 | Sep 5, 2017 | M | 4,000 | D | May 25, 2011 | May 25, 2020 | Common Stock | 4,000 | 183,000 | D |
Explanation of responses
- F1No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned.