SEC Form 4 · accession 0001620863-18-000063
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
Nov 30, 2018
Accepted (ET)
Dec 3, 2018 · 3:26 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 30, 2018 | M | 61,000 | $17.54 | A | 254,264 | D | |
| Common Stock | Nov 30, 2018 | F | 45,616 | $38.45 | D | 208,648 | D | |
| Common Stock | Dec 3, 2018 | J | 0 | $0.00 | A | 32,348 | I | By ESOP |
| Common Stock | Dec 3, 2018 | J | 0 | $0.00 | A | 225 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Common Stock | $17.54 | Nov 30, 2018 | M | 61,000 | D | May 26, 2015 | May 25, 2020 | Common Stock | 61,000 | 138,000 | D |
Explanation of responses
- F1No transaction occurred amongst these shares. Intended only to reflect number of shares beneficially owned.