Filing Details
- Accession Number:
- 0001516736-11-000010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-02 18:45:01
- Reporting Period:
- 2011-07-01
- Filing Date:
- 2011-09-02
- Accepted Time:
- 2011-09-02 18:45:01
- 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 |
---|---|---|---|---|---|---|---|
1278329 | A Nancy Gray | Sevp & Cfo | No | Yes | 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 | 9,803 | $7.65 | 13,203 | No | 4 | C | Direct | |
Common | Acquisiton | 2011-07-01 | 1,755 | $4.95 | 14,958 | 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 | 750 | $100.00 | 9,803 | $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 teh 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) on the date 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