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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant to Purchase Class B Non-Voting Common Stock | $ 11 | 08/22/2012 | G(2) | 960,000 | (3) | (3) | Class B Non-Voting Common Stock | 960,000 | $ 0 | 0 | I | COR Capital Holding LLC | |||
Warrant to Purchase Class B Non-Voting Common Stock | $ 11 | 08/22/2012 | G(2) | 960,000 | (3) | (3) | Class B Non-Voting Common Stock | 960,000 | $ 0 | 960,000 | I | By Steven and Ainslie Sugarman Living Trust | |||
Stock Appreciation Right | $ 12.12 | 08/21/2012 | A | 500,000 | (4) | 08/21/2022 | Common Stock | 500,000 | $ 0 (5) | 500,000 | D | ||||
Stock Option | $ 15.81 | 06/27/2012 | 06/27/2021 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Purchase) | $ 15.81 | 06/27/2012 | 06/27/2021 | Common Stock | 5,631 | 8,631 | D | ||||||||
Stock Option (Right to Purchase) | $ 15.81 | 06/27/2012 | 06/27/2021 | Common Stock | 7,534 | 16,165 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sugarman Steven C/O FIRST PACTRUST BANCORP INC. 18500 VON KARMAN AVE, SUITE 1100 IRVINE, CA 92612 |
CO-CEO |
/s/ Richard A Herrin, Attorney-in-Fact | 08/22/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Class A Voting Common Stock was transferred from COR Capital Holding LLC , of which Mr. Sugarman is the managing member, to the Steven and Ainslie Sugarman Living Trust. |
(2) | The Class B Non-Voting Common Stock warrant was transferred from COR Capital Holding LLC , of which Mr. Sugarman is the managing member, to the Steven and Ainslie Sugarman Living Trust. |
(3) | Warrants to purchase 50,000 shares of the Issuer's Class B Non-Voting Common Stock became exercisable on October 1, 2011. An additional 130,000 shares will become exercisable on the first day of each of the next seven calendar quarterly periods beginning on January 1, 2012, subject to earlier vesting upon a change in control of the issuer or in the discretion of the issuer's board of directors. The warrant is exercisable with respect to each vesting tranche for five years after the tranche's vesting date. |
(4) | One-third of the rights vested immediately upon granting to Mr. Sugarman. The remaining rights will vest as follows: one-third on August 21, 2013 and the final one-third on August 21, 2014. |
(5) | Issued as consideration for services rendered to the Issuer. |