Filing Details

Accession Number:
0000902664-14-004250
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-07 17:05:58
Reporting Period:
2014-10-28
Filing Date:
2014-11-07
Accepted Time:
2014-11-07 17:05:58
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 Ave.
51St Floor
New York NY 10022
No No No Yes
1519604 Sbav Lp 601 Lexington Avenue
51St Floor
New York NY 10022
No No No Yes
1566939 E. George Hall C/O Clinton Group Inc, 601 Lexington Ave
51St Floor
New York NY 10021
No No No Yes
1567108 Clinton Relational Opportunity Master Fund, L.p. C/O Clinton Group Inc, 601 Lexington Ave
51St Floor
New York NY 10022
No No No Yes
1577073 Clinton Relational Opportunity Llc C/O Clinton Group Inc.
601 Lexington Avenue, 51St Floor
New York NY 10022
No No No Yes
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 2014-10-28 600 $6.60 600 No 4 P Indirect See footnote
Common Stock Acquisiton 2014-11-03 5,000 $6.80 5,600 No 4 P Indirect See Footnote
Common Stock Acquisiton 2014-11-04 93 $6.64 5,693 No 4 P Indirect See footnote
Common Stock Acquisiton 2014-11-05 9,100 $6.74 14,793 No 4 P Indirect See footnote
Common Stock Acquisiton 2014-11-05 5,000 $6.82 19,793 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
Footnotes
  1. Mr. George Hall serves as the Chief Executive Officer of Clinton Group, Inc. ("Clinton"), a Delaware corporation. By virtue of (i) its ownership of Clinton Relational Opportunity, LLC, a Delaware limited liability company, which serves as the investment manager of Clinton Relational Opportunity Master Fund, L.P., a Cayman Islands exempted limited partnership ("CREL") and (ii) a sub-advisory agreement governing a mutual fund portfolio ("WKCAX"), Clinton has voting power and investment discretion with respect to the securities reported herein which are held by CREL and WKCAX. The Reporting Persons disclaim beneficial ownership of such securities, and this report shall not be deemed an admission that any Reporting Person is the beneficial owners of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such Reporting Person's pecuniary interest therein.