Statement of Changes in Beneficial Ownership (4)

Date : 09/13/2017 @ 5:49PM
Source : Edgar (US Regulatory)
Stock : Pacific Premier Bancorp (MM) (PPBI)
Quote : 39.15  0.15 (0.38%) @ 4:02PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

GARDNER STEVEN R
2. Issuer Name and Ticker or Trading Symbol

PACIFIC PREMIER BANCORP INC [ PPBI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chairman, President & CEO
(Last)          (First)          (Middle)

17901 VON KARMAN AVE., SUITE 1200
3. Date of Earliest Transaction (MM/DD/YYYY)

9/11/2017
(Street)

IRVINE, CA 92614
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
PPBI Common Stock   9/11/2017     S    7500   D $34.1371   (1) 271827   (2) D    
PPBI Common Stock   9/12/2017     S    12500   D $34.7625   (3) 259327   (2) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Options on PPBI Common Stock   $5.01                      (4) 8/27/2018   PPBI Common Stock   26849.0     26849   D    
Options on PPBI Common Stock   $6.3                      (5) 1/5/2021   PPBI Common Stock   5000.0     5000   D    
Options on PPBI Common Stock   $7.87                      (6) 6/5/2022   PPBI Common Stock   100000.0     100000   D    
Options on PPBI Common Stock   $10.44                      (7) 1/2/2023   PPBI Common Stock   50000.0     50000   D    
Options on PPBI Common Stock   $15.68                      (8) 1/2/2024   PPBI Common Stock   50000.0     50000   D    
Options on PPBI Common Stock   $15.16                      (9) 1/28/2025   PPBI Common Stock   50000.0     50000   D    
PPBI Restricted Stock Unit     (10)                    (10)   (11) PPBI Common Stock   14045.0     14045   D    
PPBI Restricted Stock Unit     (12)                    (12)   (11) PPBI Common Stock   9750.0     9750   D    

Explanation of Responses:
(1)  The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.90 to $34.70, inclusive.
(2)  Includes 115,469 shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant.
(3)  The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.55 to $35.00, inclusive.
(4)  The option vests in three equal annual installments beginning on 8/27/2009.
(5)  The option vests in three equal annual installments beginning on 1/5/2012.
(6)  The option vests in three equal annual installments beginning on 6/5/2013.
(7)  The option vests in three equal annual installments beginning on 1/2/2014.
(8)  The option vests in three equal annual installments beginning on 1/2/2015.
(9)  The option vests in three equal annual installments beginning on 1/28/2016.
(10)  Each Restricted Stock Unit represents the right to receive one share of common stock. The Restricted Stock Units will vest annually, if at all, commencing January 26, 2018 in three installments ranging between 1/5 and 1/3 of the reported number of Restricted Stock Units.
(11)  Not applicable.
(12)  Each Restricted Stock Unit represents the right to receive one share of common stock. The Restricted Stock Units will vest annually, if at all, commencing January 25, 2017 in three installments ranging between 1/5 and 1/3 of the reported number of Restricted Stock Units.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
GARDNER STEVEN R
17901 VON KARMAN AVE., SUITE 1200
IRVINE, CA 92614
X
Chairman, President & CEO

Signatures
Steven R. Gardner 9/13/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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