Statement of Changes in Beneficial Ownership (4)
August 24 2017 - 7:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
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1. Name and Address of Reporting Person
*
GARDNER STEVEN R
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2. Issuer Name
and
Ticker or Trading Symbol
PACIFIC PREMIER BANCORP INC
[
PPBI
]
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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
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(Last)
(First)
(Middle)
17901 VON KARMAN AVE., SUITE 1200
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/22/2017
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(Street)
IRVINE, CA 92614
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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PPBI Common Stock
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8/22/2017
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M
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16666
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A
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$7.10
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282321
(1)
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D
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PPBI Common Stock
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8/22/2017
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M
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8334
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A
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$7.10
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290655
(1)
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D
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PPBI Common Stock
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8/22/2017
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M
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8151
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A
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$5.01
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298806
(1)
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D
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PPBI Common Stock
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8/22/2017
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S
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16666
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D
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$35.5691
(2)
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282140
(1)
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D
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PPBI Common Stock
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8/22/2017
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F
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1664
(3)
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D
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$35.42
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280476
(1)
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D
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PPBI Common Stock
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8/22/2017
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F
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1149
(3)
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D
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$35.42
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279327
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options on PPBI Common Stock
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$7.1
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8/22/2017
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M
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16666
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(4)
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1/2/2018
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PPBI Common Stock
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16666.0
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$7.10
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8334
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D
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Options on PPBI Common Stock
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$7.1
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8/22/2017
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M
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8334
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(4)
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1/2/2018
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PPBI Common Stock
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8334.0
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$7.10
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0
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D
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Options on PPBI Common Stock
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$5.01
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8/22/2017
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M
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8151
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(5)
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8/27/2018
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PPBI Common Stock
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8151.0
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$5.01
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26849
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D
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PPBI Restricted Stock Unit
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(6)
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(6)
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(7)
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PPBI Common Stock
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9750.0
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9750
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D
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Options on PPBI Common Stock
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$6.3
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(8)
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1/5/2021
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PPBI Common Stock
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5000.0
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5000
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D
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PPBI Restricted Stock Unit
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(9)
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(9)
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(7)
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PPBI Common Stock
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14045.0
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14045
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D
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Options on PPBI Common Stock
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$15.68
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(10)
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1/2/2024
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PPBI Common Stock
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50000.0
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50000
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D
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Options on PPBI Common Stock
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$10.44
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(11)
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1/2/2023
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PPBI Common Stock
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50000.0
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50000
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D
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Options on PPBI Common Stock
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$15.16
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(12)
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1/28/2025
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PPBI Common Stock
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50000.0
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50000
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D
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Options on PPBI Common Stock
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$7.87
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(13)
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6/5/2022
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PPBI Common Stock
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100000.0
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100000
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D
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Explanation of Responses:
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(1)
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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.
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(2)
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The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.50 to $35.65, inclusive.
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(3)
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Represents the surrender of already-owned shares on August 22, 2017 to cover payment of option exercise price.
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(4)
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The option vests in three equal annual installments beginning on 1/2/2009.
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(5)
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The option vests in three equal annual installments beginning on 8/27/2009.
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(6)
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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.
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(7)
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Not applicable.
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(8)
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The option vests in three equal annual installments beginning on 1/5/2012.
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(9)
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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.
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(10)
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The option vests in three equal annual installments beginning on 1/2/2015.
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(11)
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The option vests in three equal annual installments beginning on 1/2/2014.
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(12)
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The option vests in three equal annual installments beginning on 1/28/2016.
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(13)
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The option vests in three equal annual installments beginning on 6/5/2013.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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GARDNER STEVEN R
17901 VON KARMAN AVE., SUITE 1200
IRVINE, CA 92614
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X
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Chairman, President & CEO
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Signatures
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Steven R. Gardner
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8/24/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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