SEC Form 4 · accession 0001127602-15-030711
CENTRAL PACIFIC FINANCIAL CORP · CPF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Agnes Catherine Ngo
Officer — President & CEO · Director
Period of report
Nov 5, 2015
Accepted (ET)
Nov 6, 2015 · 9:36 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 | SVC Management Co. LLC |
| Common Stock | Nov 5, 2015 | S | 1,000 | $23.2394 | D | 1,188 | I | SVC Management Co. LLC |
| Common Stock | Nov 5, 2015 | S | 1,188 | $23.25 | D | 0 | I | SVC Management Co. LLC |
| Common Stock | Nov 5, 2015 | S | 4,627 | $23.00 | D | 0 | I | Startup Capital Ventures, LP |
| Common Stock | holding | — | — | — | 69,222 | I | Co-Trustee of Hines & Ngo 2000 Family Trust dtd 4/18/00 | |
| Common Stock | holding | — | — | — | 5,886 | I | CPF Foundation | |
| Common StockF3 | holding | — | — | — | 8,122 | D | ||
| Common StockF4 | holding | — | — | — | 2,706 | D | ||
| Common Stock | holding | — | — | — | 9,480 | D | ||
| Common StockF5 | holding | — | — | — | 5,767 | D | ||
| Common Stock | holding | — | — | — | 2,714 | I | Robert Hines IRA | |
| Common StockF6 | holding | — | — | — | 2,855 | D | ||
| Common StockF7 | holding | — | — | — | 13,227 | 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"). Ms. Ngo had an interest in the shares owned by the Company. Ms. Ngo disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.
- F2These shares were sold by Startup Capital Ventures, LP (the "Partnership"). Ms. Ngo had an interest in the shares owned by the Partnership. Ms. Ngo disclaims beneficial ownership of the reported securities except to the extent of her 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.
- F7RSU time-based grant 8/17/15, with 5-year vesting schedule, whereby shares to vest in equal increments over 5-years.