4//SEC Filing
PACIFIC MERCANTILE BANCORP 4
Accession 0001127602-15-007558
CIK 0001109546operating
Filed
Feb 22, 7:00 PM ET
Accepted
Feb 23, 10:05 AM ET
Size
8.9 KB
Accession
0001127602-15-007558
Insider Transaction Report
Form 4
Carpenter Edward John
Director
Transactions
- Award
Common Stock - Restricted
2015-02-18$7.12/sh+2,949$20,997→ 2,949 total
Holdings
- 4,201,278(indirect: See Footnote)
Common Stock
- 408,834(indirect: See Footnote)
Common Stock Purchase Warrant
Exercise: $6.26Exp: 2016-04-20→ Common Stock (408,834 underlying) - 695,489(indirect: See Footnote)
Series B-2 Convertible 8.4% Noncumulative Preferred Stock
Exercise: $5.32→ Common Stock (695,489 underlying)
Footnotes (4)
- [F1]Shares granted pursuant to restricted stock agreement, vesting over 12 months.
- [F2]All such shares of common stock, Series B Stock and warrants are held by Carpenter Community Bancfund, LP and Carpenter Community Bancfund-A, LP, of which Carpenter Fund Manager GP, LLC is the General Partner. Edward J. Carpenter is a Managing Member of Carpenter Fund Manager GP, LLC and disclaims beneficial ownership of all such shares, except to the extent that Mr. Carpenter has a pecuniary interest in the General Partner.
- [F3]The warrants are not currently exercisable and would only become exercisable if the Issuer completes an acquisition of an insured depository institution or its parent having assets of $250 million or more by merger, purchase of outstanding shares or the purchase and assumption of all or substantially all of its assets and liabilities.
- [F4]The preferred stock is convertible at any time at the holder's election and has no expiration date.
Documents
Issuer
PACIFIC MERCANTILE BANCORP
CIK 0001109546
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0001109546
Filing Metadata
- Form type
- 4
- Filed
- Feb 22, 7:00 PM ET
- Accepted
- Feb 23, 10:05 AM ET
- Size
- 8.9 KB