Initial Statement of Beneficial Ownership (3)
September 05 2019 - 3:30PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
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
*
Dinsmore Bradford R |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/3/2019
|
3. Issuer Name and Ticker or Trading Symbol
PACIFIC MERCANTILE BANCORP [PMBC]
|
(Last)
(First)
(Middle)
949 SOUTH COAST DRIVE, THIRD FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Executive Officer / |
(Street)
COSTA MESA, CA 92626
(City)
(State)
(Zip)
| 5. 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (Right to buy) | (1) | 9/3/2029 | Common Stock | 250000.00 | $7.33 | D | |
Restricted Stock Unit | (3) | (3) | Common Stock | 100000.00 | (2) | D | |
Explanation of Responses: |
(1) | 5 Years Annually beginning 3-Sep-2020 |
(2) | Each RSU represents a contingent right to receive one share of the issuer's common stock upon settlement. |
(3) | The RSUs vests as to 25,000 share(s) on 3-Sep-2020, 75,000 share(s) on 3-Sep-2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dinsmore Bradford R 949 SOUTH COAST DRIVE THIRD FLOOR COSTA MESA, CA 92626 |
|
| Chief Executive Officer |
|
Signatures
|
/s/ Nancy Gray, attorney in fact for DINSMORE BRADFORD R | | 9/5/2019 |
**Signature of Reporting Person | Date |
Pacific Mercantile Bancorp (NASDAQ:PMBC)
Historical Stock Chart
From Mar 2024 to Apr 2024
Pacific Mercantile Bancorp (NASDAQ:PMBC)
Historical Stock Chart
From Apr 2023 to Apr 2024