SEC Form 4 · accession 0001127602-15-030682
CENTRAL PACIFIC FINANCIAL CORP · CPF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Dean
Officer — Executive Chairman · Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 6, 2015 · 6:52 pm EST
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 Stock | Nov 5, 2015 | S | 1,000 | $23.15 | D | 2,188 | I | SCV Management Co, LLC |
| Common Stock | Nov 5, 2015 | S | 1,000 | $23.2394 | D | 1,188 | I | SCV Management Co, LLC |
| Common Stock | Nov 5, 2015 | S | 1,188 | $23.25 | D | 0 | I | SCV Management Co, LLC |
| Common Stock | Nov 5, 2015 | S | 4,627 | $23.00 | D | 0 | I | Startup Capital Ventures, LP |
| Common Stock | holding | — | — | — | 100,000 | I | MSSB C/F John C. Dean Roth Converted IRA 112-156064-086 | |
| Common StockF3 | holding | — | — | — | 8,122 | D | ||
| Common StockF4 | holding | — | — | — | 2,706 | D | ||
| Common Stock | holding | — | — | — | 98,146 | I | The John C Dean Rev Trust | |
| Common StockF5 | holding | — | — | — | 9,883 | D | ||
| Common StockF6 | holding | — | — | — | 4,706 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold by Startup Capital Ventures, Management Co, LLC (the "Company"). Mr. Dean had an interest in the shares owned by the Company. Mr. Dean disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F2These shares were sold by Startup Capital Ventures, LP (the "Partnership"). Mr. Dean had an interest in the shares owned by the Partnership. Mr. Dean disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- 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 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.
- F6RSUs 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.