SEC Form 4 · accession 0001620863-18-000062
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Virginia Walker
Director
Period of report
Nov 14, 2018
Accepted (ET)
Nov 15, 2018 · 1:08 pm EST
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 | Nov 14, 2018 | M | 10,000 | $12.63 | A | 14,078 | D | |
| Common StockF2 | Nov 14, 2018 | F | 3,557 | $35.50 | D | 10,521 | D | |
| Common Stock | Nov 14, 2018 | J | 0 | $0.00 | A | 1,066,742 | 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 | $12.63 | Nov 14, 2018 | M | 10,000 | D | Mar 10, 2012 | Mar 10, 2019 | Common Stock | 10,000 | 26,000 | D |
Explanation of responses
- F1No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned.
- F2Exercised a cashless exercise pursuant to which 3,557 shares were surrendered to TCBK as payment for the exercise price pursuant to the 2001 Stock Option Plan.