Statement of Changes in Beneficial Ownership (4)
June 01 2021 - 3:20PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Koehnen Michael W |
2. Issuer Name and Ticker or Trading Symbol
TRICO BANCSHARES /
[
TCBK
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
63 CONSTITUTION DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2021 |
(Street)
CHICO, CA 95973
(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
|
Common Stock | 5/28/2021 | | M | | 1553 | A | (1) | 101814.19 | D | |
Common Stock | 5/28/2021 | | J(2) | | 0 | A | $0 | 2300 | I | By Spouse |
Common Stock | 5/28/2021 | | J(2) | | 0 | A | $0 | 4400 | I | By Mothers Trust |
Common Stock | 5/28/2021 | | J(2) | | 0 | A | $0 | 8600 | I | Koehnen & Sons Profit Sharing |
Common Stock | 5/28/2021 | | J(2) | | 0 | A | $0 | 97715 | I | Koehnen & Sons |
Common Stock | 5/28/2021 | | J(3) | | 0 | A | $0 | 1199798 | I | By ESOP Trustee |
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 |
Restricted Stock Unit | (4) | 5/27/2021 | | M | | 1398 | | (4) | (4) | Common Stock | 1398 | $0 | 2951 | D | |
Restricted Stock Unit | (1) | 5/28/2021 | | M | | | 1553 | (1) | (1) | Common Stock | 1553 | $0 | 1398 | D | |
Explanation of Responses: |
(1) | Represents the conversion upon vesting of RSUs into common stock on a one-for-one basis. RSU was granted on May 28, 2020. Price per share on vesting date (May 28, 2021): $47.95 |
(2) | No transactions occurred among these shares. Intended only to reflect shares beneficially owned. |
(3) | Reporting person is a trustee of the Issuers Employee Stock Ownership Plan. The reporting person has no security interest in, and disclaims beneficial ownership of the securities. |
(4) | Represents the grant of Restricted Stock Units. 100% of the shares vest on 05/27/2022. Cash dividends on RSUs are reinvested in shares of common stock of the Issuer at fair market value on date of dividend payment. Per unit value on date of grant was $46.47 (based on the 30-day average closing price of Issuers common stock). |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Koehnen Michael W 63 CONSTITUTION DRIVE CHICO, CA 95973 | X |
|
|
|
Signatures
|
/s/ Michael Koehnen by Jason Cove, Attorney-In-Fact | | 6/1/2021 |
**Signature of Reporting Person | Date |
TriCo Bancshares (NASDAQ:TCBK)
Historical Stock Chart
From Aug 2024 to Sep 2024
TriCo Bancshares (NASDAQ:TCBK)
Historical Stock Chart
From Sep 2023 to Sep 2024