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Filing Details

Accession Number:: 0001104659-13-026534
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-04-02 18:19:14
Reporting Period:: 2013-03-30

Filing Date:: 2013-04-02
Accepted Time:: 2013-04-02 18:19:14
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
1427423	Carpenter Community Bancfund-A, L.p.	5 Park Plaza Suite 950 Irvine CA 92614		Yes	No	Yes	No
1427461	Carpenter Fund Manager Gp, Llc	5 Park Plaza Suite 950 Irvine CA 92614		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-03-30	75,556	$6.75	218,399	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2013-03-30	2,146,666	$6.75	6,423,500	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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C 8.4% Noncumulative Preferred Stock	Acquisiton	2012-12-31	90	$0.00	1,691	$5.32
Common Stock	Series C 8.4% Noncumulative Preferred Stock	Acquisiton	2012-12-31	2,585	$0.00	48,590	$5.32

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
90			No	4	J	Indirect
2,585			No	4	J	Indirect

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Common Stock Purchase Warrant	$6.26	2016-04-20	13,900	13,900	Indirect
Common Stock	Common Stock Purchase Warrant	$6.26	2016-04-20	394,934	394,934	Indirect
Common Stock	Series B-1 Convertible 8.4% Noncumulative Preferred Stock	$5.32		23,609	1,256	Indirect
Common Stock	Series B-1 Convertible 8.4% Noncumulative Preferred Stock	$5.32		671,880	35,740	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2016-04-20	13,900	13,900	Indirect
2016-04-20	394,934	394,934	Indirect
	23,609	1,256	Indirect
	671,880	35,740	Indirect

Footnotes

Held directly by Carpenter Community BancFund, LP and beneficially owned by Carpenter Fund Manager GP, LLC (the "General Partner") as general partner of such fund. The General Partner disclaims beneficial ownership of the securities, except to the extent that the General Partner has a pecuniary interest, if any, in such fund.
Held directly by Carpenter Community BancFund-A, LP and beneficially owned by the General Partner as general partner of such fund. The General Partner disclaims beneficial ownership of the securities, except to the extent that the General Partner has a pecuniary interest, if any, in such fund.
The warrants are not currently exercisable and would only become exercisable if the issuer completes an acquisition of an insured depository institution or its parent having assets of $250 million or more by merger, purchase of outstanding shares or the purchase and assumption of all or substantially all of its assets and liabilities. No transactions occurred with respect to these securities, intended only to reflect number of securities beneficially owned.
Such preferred stock is convertible at any time at the holder's election and has no expiration date. No transactions occurred with respect to these securities, intended only to reflect number of securities beneficially owned.
Received as a payment-in-kind dividend on shares of Series B-2 Convertible 8.4% Noncumulative Preferred Stock. Such preferred stock is not currently convertible but may become convertible upon transfer in a widely dispersed offering and has no expiration date.