Statement of Changes in Beneficial Ownership (4)
February 12 2015 - 1:24PM
Edgar (US Regulatory)
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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
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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
*
REDDISH THOMAS J
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2. Issuer Name
and
Ticker or Trading Symbol
TRICO BANCSHARES /
[
TCBK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, Chief Financial Officer
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(Last)
(First)
(Middle)
63 CONSTITUTION DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2015
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(Street)
CHICO, CA 95928
(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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Common Stock
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2/11/2015
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A
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7330
(1)
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A
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$19.35
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73304.07
(2)
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D
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Common Stock
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2/11/2015
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F
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5976
(3)
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D
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$23.73
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67328.07
(2)
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D
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Common Stock
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2/11/2015
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F
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686
(4)
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D
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$23.73
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66642.07
(2)
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D
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Common Stock
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2/11/2015
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F
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2177
(5)
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D
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$23.73
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64465.07
(2)
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D
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Common Stock
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2/11/2015
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A
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2670
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A
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$19.35
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67135.07
(2)
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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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Option Common Stock
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$19.35
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2/11/2015
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M
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7330
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2/22/2006
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2/22/2015
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Common Stock
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7330
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$19.35
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116270
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D
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Option Common Stock
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$19.35
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2/11/2015
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M
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2670
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2/22/2006
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2/22/2015
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Common Stock
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2670
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$19.35
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113600
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D
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Explanation of Responses:
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(
1)
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Represents shares acquired via Nonqualified Stock Option exercise using the pyramid method.
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(
2)
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Common Stock owned includes 20,843.07 shares held in the Issuer's Employee Stock Ownership Plan.
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(
3)
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Represents shares used to exercise Nonqualified Stock Options via the pyramid method.
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(
4)
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Represents shares withheld to pay for tax liability after exercise of Nonqualified Stock Options.
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(
5)
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Represents shares tendered to pay price to exercise Incentive Stock Options.
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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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REDDISH THOMAS J
63 CONSTITUTION DRIVE
CHICO, CA 95928
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EVP, Chief Financial Officer
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Signatures
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/S/ Thomas J Reddish by Jacob Duenas Attorney-in-Fact
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2/12/2015
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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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