SEC Form 4 · accession 0001127602-15-021065
CENTRAL PACIFIC FINANCIAL CORP · CPF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Dean
Officer — Chairman & CEO · Director
Period of report
Dec 31, 2013
Accepted (ET)
Jun 18, 2015 · 6:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000701347
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 28, 2014 | A | 5,473 | $0.00 | A | 5,473 | D | |
| Common StockF2 | Dec 31, 2014 | A | 11,057 | $0.00 | A | 11,057 | D | |
| Common Stock | holding | — | — | — | 41,573 | D | ||
| Common Stock | holding | — | — | — | 100,000 | I | MSSB C/F John C. Dean Roth Converted IRA 112-156064-086 | |
| Common Stock | holding | — | — | — | 3,188 | I | SCV Management Co, LLC | |
| Common Stock | holding | — | — | — | 4,627 | I | Startup Capital Ventures, LP | |
| Common Stock | holding | — | — | — | 10,000 | I | The Dean Rev Trust, John C Dean and Alice S Dean TTEEs | |
| Common StockF3 | holding | — | — | — | 8,122 | D | ||
| Common StockF4 | holding | — | — | — | 2,706 | D | ||
| Common Stock | holding | — | — | — | 50,142 | I | The John C Dean Rev Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF5 | $0.00 | Dec 31, 2013 | A | 18,406 | A | Feb 28, 2014 | Feb 29, 2016 | Common Stock | 18,406 | 18,406 | D |
| Restricted Stock UnitF6,F7 | $0.00 | holding | — | — | — | — | — | Common Stock | 12,456 | 12,456 | D |
Explanation of responses
- F1RSUs time-based originally filed on 3/4/2014 were reported with RSUs performance-based and combined into one holding. This clarifies that filing and creates a separate holding for the RSUs time-based only.
- F2RSUs performance-based were originally filed on 3/4/2014 at the maximum performance criteria. This supplements that filing to note the actual number shares that vested based on the performance results.
- F3RSUs performance-based, granted 2/17/15 reported at maximum number of shares to vest. Actual number of shares to vest based on performance results
- F4RSUs time-based; granted 2/17/15
- F5RSUs performance-based originally filed on 3/1/13 at 100% (target) performance criteria. This supplements that filing to note the actual number of shares vested based on performance results.
- F63 year step vest starting 2/28/2014
- F7Only expires if terminated before vest date