Statement of Changes in Beneficial Ownership (4)
July 26 2021 - 5:58PM
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
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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
*
SMITH RICHARD P |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO & President |
(Last)
(First)
(Middle)
63 CONSTITUTION DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/22/2021 |
(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 | 7/22/2021 | | M | | 5788 | A | (1) | 215102 | D | |
Common Stock | 7/22/2021 | | F | | 3319 (2) | A | $39.66 | 211783 | D | |
Common Stock | 7/22/2021 | | J(3) | | 0 | A | $0 | 36282.71 | I | By ESOP |
Common Stock | 7/22/2021 | | J(4) | | 0 | A | $0 | 1199798 | I | By ESOP Trustee |
Common Stock | 7/22/2021 | | J(5) | | 0 | A | $0 | 240.95 | I | By Spouse |
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 |
Performance Stock Unit | (1) | 7/22/2021 | | M | | | 5788 | (1) | (1) | Common Stock | 5788 | $0 | 28955 | D | |
Explanation of Responses: |
(1) | Vesting of performance-based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number of shares based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 3,965 PSUs which was reported in the original Form 4 for this grant). PSUs vested at 146%. |
(2) | Reflects shares withheld to pay for taxes. |
(3) | No transactions occurred among these shares. Intended only to reflect shares beneficially owned in the reporting persons ESOP account as of December 31, 2020. |
(4) | The 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. |
(5) | No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMITH RICHARD P 63 CONSTITUTION DRIVE CHICO, CA 95973 | X |
| CEO & President |
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Signatures
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/s/ Richard Smith by Jason Cove, Attorney-In-Fact | | 7/26/2021 |
**Signature of Reporting Person | Date |
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