Statement of Changes in Beneficial Ownership (4)
July 14 2022 - 7:07PM
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).
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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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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
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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)
7/13/2022 |
(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 | 7/13/2022 | | M | | 8873 | A | (1) | 236175 | D | |
Common Stock | 7/13/2022 | | F | | 5088 (2) | D | $45.53 | 231087 | D | |
Common Stock | 7/13/2022 | | J(3) | | 0 | A | $0 | 36364.83 | I | By ESOP |
Common Stock | 7/13/2022 | | J(4) | | 0 | A | $0 | 246.56 | I | By spouse |
Common Stock | 7/13/2022 | | J(5) | | 0 | A | $0 | 1061313 | I | ESOP Trustee |
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) | 7/13/2022 | | M | | | 8873 | (1) | (1) | Common Stock | 8873 | $0 | 21682 | 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 based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 7,273 PSUs which was reported in the original Form 4 for this grant). PSUs vested at 122%. |
(2) | Reflects shares withheld to pay taxes |
(3) | No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned in reporting persons ESOP account as of 12/31/2021 |
(4) | No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned |
(5) | 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 |
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 Janine Howard, Attorney-in-Fact | | 7/14/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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