SEC Form 4 · accession 0001620863-19-000003
TRICO BANCSHARES / · TCBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig B Carney
Officer — EVP/Chief Credit Officer
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 12:34 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 | Mar 6, 2019 | M | 20,000 | $15.34 | A | 40,702 | D | |
| Common Stock | Mar 6, 2019 | F | 14,314 | $39.91 | D | 26,388 | D | |
| Common Stock | Mar 6, 2019 | M | 11,000 | $19.46 | A | 37,388 | D | |
| Common Stock | Mar 6, 2019 | F | 8,386 | $39.91 | D | 29,002 | D | |
| Common Stock | Mar 6, 2019 | J | 0 | $0.00 | A | 129 | I | By Children |
| Common Stock | Mar 6, 2019 | J | 0 | $0.00 | A | 136 | I | By Children |
| Common Stock | Mar 6, 2019 | J | 0 | $0.00 | A | 119 | I | By Children |
| Common Stock | Mar 6, 2019 | J | 0 | $0.00 | A | 15,149 | 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 | $15.34 | Mar 6, 2019 | M | 20,000 | D | May 22, 2017 | May 22, 2022 | Common Stock | 20,000 | 11,000 | D |
| Option Common Stock | $19.46 | Mar 6, 2019 | M | 11,000 | D | May 9, 2018 | May 9, 2023 | Common Stock | 11,000 | 0 | D |
Explanation of responses
- F1This form is being filed to report the exercise of a stock option for a total of 21,000 shares by means of a cashless exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of an additional 8,300 shares of common stock.
- F2No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned.