Filing Details
- Accession Number:
- 0000902664-13-001663
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-21 19:39:00
- Reporting Period:
- 2013-03-12
- Filing Date:
- 2013-03-21
- Accepted Time:
- 2013-03-21 19:39:00
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1109546 | Pacific Mercantile Bancorp | PMBC | National Commercial Banks (6021) | 330898238 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1134119 | Clinton Group Inc | 601 Lexington Avenue 51St Floor New York NY 10022 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-03-12 | 2,200 | $5.68 | 1,411,974 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-12 | 1,779 | $5.69 | 1,413,753 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-12 | 15,697 | $5.75 | 1,429,450 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-13 | 3,007 | $5.78 | 1,432,457 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-13 | 49,000 | $5.80 | 1,481,457 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-14 | 1,700 | $5.91 | 1,483,157 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-14 | 2,312 | $5.94 | 1,485,469 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-15 | 4,283 | $6.12 | 1,489,752 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-15 | 5,000 | $6.14 | 1,494,752 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-18 | 1,500 | $6.10 | 1,496,252 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-18 | 5,000 | $6.16 | 1,501,252 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-19 | 2,200 | $6.21 | 1,503,452 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-19 | 20,802 | $6.27 | 1,524,254 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2013-03-20 | 5,000 | $6.08 | 1,529,254 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Footnotes
- SBAV LP ("SBAV") directly owns 1,409,774 shares of common stock into which shares of Series B-2 Convertible 8.4% Noncumulative Preferred Stock are convertible. Clinton Magnolia Master Fund Ltd. ("Magnolia") directly owns 119,480 shares of common stock. Clinton Group, Inc. ("Clinton") is deemed to be the indirect beneficial owner of the securities reported herein by reason of its position as investment manager of SBAV and Magnolia. Clinton disclaims beneficial ownership of any and all such securities in excess of their actual pecuniary interest.