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
- 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.