Sierra Bancorp - Annual Statement of Changes in Beneficial Ownership (5)
February 04 2008 - 6:14PM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Expires:
January 31, 2008
Estimated average burden
hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
McPhaill Kevin J
|
2. Issuer Name
and
Ticker or Trading Symbol
SIERRA BANCORP [BSRR]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Banking Officer/EVP
|
(Last)
(First)
(Middle)
86 N. MAIN STREET
|
3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2007
|
(Street)
PORTERVILLE, CA 93257
(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)
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
|
|
|
|
|
|
6500.00
|
D
|
|
Table II - Derivative Securities Acquired, Disposed of, or 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
(MM/DD/YYYY)
|
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 at End of Issuer's Fiscal Year
(Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
|
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option
|
$26.58
|
11/15/2007
|
|
A
|
2000
|
|
11/15/2007
|
11/15/2018
|
Common Stock
|
2000.00
|
$0
|
2000.00
|
D
|
|
Stock Option
|
$28.14
|
|
|
|
|
|
(1)
|
8/17/2011
|
Common Stock
|
15000.00
|
|
15000.00
|
D
|
|
Stock Option
|
$31.70
|
|
|
|
|
|
(2)
|
11/16/2016
|
Common Stock
|
2000.00
|
|
2000.00
|
D
|
|
Explanation of Responses:
|
(
1)
|
Vesting at a rate of 3,000 shares per year for 5 years to expire 8/16/16. Clerical error in not filing at time of grant.
|
(
2)
|
Options vesting at rate of 20% per year for 5 years to expire 11/16/2016. Clerical error in not filing at time of grant.
|
Remarks:
Late filing due to clerical error.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
McPhaill Kevin J
86 N. MAIN STREET
PORTERVILLE, CA 93257
|
|
|
Chief Banking Officer/EVP
|
|
Signatures
|
By: L. Diane Rotondo, Attorney-in-Fact
|
|
2/4/2008
|
**
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.
|
Sierra Bancorp (NASDAQ:BSRR)
Historical Stock Chart
From Jul 2024 to Aug 2024
Sierra Bancorp (NASDAQ:BSRR)
Historical Stock Chart
From Aug 2023 to Aug 2024