SEC Form 4 · accession 0001620863-18-000058
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 13, 2018
Accepted (ET)
Aug 14, 2018 · 2:35 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 13, 2018 | M | 1,355 | — | A | 193,880 | D | |
| Common Stock | Aug 13, 2018 | F | 616 | $39.17 | A | 193,264 | D | |
| Common Stock | Aug 13, 2018 | J | 0 | $0.00 | A | 32,348 | I | By ESOP |
| Common Stock | Aug 14, 2018 | J | 0 | $0.00 | A | 224 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | Aug 13, 2018 | M | 1,355 | D | — | — | Common Stock | 1,355 | 11,400 | D |
Explanation of responses
- F1Result of vesting of an RSU granted August 11, 2014 that was vested on August 13, 2018. Closing price of $39.17 on August 13, 2018. Shares withheld to pay taxes.
- F2No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned.