SEC Form 4 · accession 0001620863-18-000021
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig S Compton
Director
Period of report
May 22, 2018
Accepted (ET)
May 23, 2018 · 12:28 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 | May 22, 2018 | M | 1,018 | — | A | 151,532 | D | |
| Common Stock | May 23, 2018 | J | 0 | $0.00 | A | 1,170,990 | I | By ESOP Trustee |
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 | — | May 22, 2018 | M | 1,018 | D | — | — | Common Stock | 1,018 | 0 | D |
| Restricted Stock UnitF3 | — | May 22, 2018 | A | 1,000 | A | — | — | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1Result of vesting of an RSU granted on May 23, 2017 that vested on May 22, 2018
- F2Reporting person is a trustee of the Issuers Employee Stock Ownership Plan. The reporting person has no security interest in, and disclaims beneficial ownership of the securities.
- F3Represents the grant of Restricted Stock Units. 100% of the shares vest on 05/21/2019. Cash dividends on RSUs are reinvested in shares of common stock of the issuer at fair market value on the date of dividend payment.