Filing Details
- Accession Number:
- 0001516736-11-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-02 17:50:34
- Reporting Period:
- 2011-07-01
- Filing Date:
- 2011-09-02
- Accepted Time:
- 2011-09-02 17:50:34
- 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 |
---|---|---|---|---|---|---|---|
1410284 | Michael Gary Williams | 949 South Coast Drive Third Floor Costa Mesa CA 92626 | 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 | Acquisiton | 2011-07-01 | 3,267 | $7.65 | 126,557 | No | 4 | C | Direct | |
Common | Acquisiton | 2011-07-01 | 585 | $4.95 | 127,142 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Acquisiton | 2011-07-01 | 250 | $100.00 | 3,267 | $7.65 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-12-31 | No | 4 | C | Indirect |
Footnotes
- These Series A shares were issued to the undersigned by the issuer, in a private transaction, in consideration for the waiver by the undersigned of the right to receive payment from the issuer of accrued but unpaid cash dividends on the shares of Series A Convertible Preferred Stock converted by the undersigned into common stock of the issuer on July 1, 2011.
- If not optionally converted sooner, the Series A shares were to be automatically converted into common stock on the later of (a) November 22, 2011 or (b) the date on which all accrued but unpaid dividends on the Series A shares had been paid in cash.
- These shares were held in an investment partnership prior to their conversion into common stock.