Statement of Changes in Beneficial Ownership (4)
June 01 2021 - 5:20PM
Edgar (US Regulatory)
FORM 4
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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
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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
*
Wiese Peter G |
2. Issuer Name and Ticker or Trading Symbol
TRICO BANCSHARES /
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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 |
(Last)
(First)
(Middle)
63 CONSTITUTION DR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2021 |
(Street)
CHICO, CA 95973
(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 | 5/27/2021 | | J(1) | | 0 | A | $0 | 8090 | D | |
Common Stock | 5/27/2021 | | J(1) | | 0 | A | $0 | 2700 | I | Wiese Family Trust |
Common Stock | 5/27/2021 | | J(1) | | 0 | A | $0 | 373.91 | I | By ESOP |
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) | 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 | (2) | 5/27/2021 | | M | | 4127 | | (2) | (2) | Common Stock | 4127 | $0 | 18529 | D | |
Performance Stock Unit | (3) | 5/27/2021 | | M | | 4127 | | (3) | (3) | Common Stock | 4127 | $0 | 13658 | D | |
Explanation of Responses: |
(1) | No transactions occurred among these shares. Intended only to reflect number of shares beneficially owned. |
(2) | Restricted Stock Unit (RSU) award that vests 25% per year over four-years beginning May 27, 2021. Cash dividends on RSUs are reinvested in additional units at fair market value on the date of a dividend payment on Issuer common stock. Per share value of RSUs on date of grant was $46.52 (based on 30-day average closing price of Issuers common stock on May 21. 2021). |
(3) | Performance-based restricted stock unit (PSU) grant that cliff vests after 3 years between 0% and 150% of the target number of shares (the number of shares listed in box 5) based on the Issuers total stockholder return relative to the KBW Regional Banking Index. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wiese Peter G 63 CONSTITUTION DR CHICO, CA 95973 |
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| EVP - Chief Financial Officer |
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Signatures
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/s/ Peter Wiese by Jason Cove, Attorney-In-Fact | | 6/1/2021 |
**Signature of Reporting Person | Date |
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