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
  1. 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.