|
1)
|
NAME
OF REPORTING PERSON
First
PacTrust Bancorp, Inc. 401(k) Employee Stock Ownership
Plan
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [
]
|
|
3)
|
SEC
USE ONLY
|
|
4)
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Not
applicable
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
||
|
5)
|
SOLE
VOTING POWER
84,640
|
|
|
6)
|
SHARED
VOTING POWER
388,329
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
364,731
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
108,238
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
472,969
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
10.7%
|
|
12
|
TYPE
OF REPORTING PERSON
EP
|
|
ITEM
1(a)
|
NAME
OF ISSUER:
First
PacTrust Bancorp, Inc. (the
"Corporation)
|
|
ITEM
1(b)
|
ADDRESS
OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
610
Bay Boulevard, Chula Vista, California 91910
|
|
ITEM
2(a)
|
NAME
OF PERSON FILING:
First
PacTrust Bancorp, Inc. 401(k) Employee Stock Ownership Plan (the
"KSOP").
|
|
ITEM
2(b)
|
ADDRESS
OF PRINCIPAL BUSINESS OFFICE OR, IF NONE,
RESIDENCE:
The business address of the KSOP is:
610
Bay Boulevard, Chula Vista, California 91910
|
|
ITEM
2(c)
|
CITIZENSHIP:
Not
applicable.
|
|
ITEM
2(d)
|
TITLE
OF CLASS OF SECURITIES
Common
stock, par value $.01 per share (the "Common
Stock")
|
|
ITEM
2(e)
|
CUSIP
NUMBER: 33589V 10
1
|
|
ITEM
3
|
IF
THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b) OR 240.13d-2(b)
or (c), CHECK WHETHER THE PERSON FILING IS:
|
||
|
(a)
|
[ ]
|
Broker
or dealer registered under section 15 of the Act (15 U.S.C.
78o);
|
|
|
(b)
|
[ ]
|
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C.
78c);
|
|
|
(c)
|
[ ]
|
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c);
|
|
|
|
(d)
|
[ ]
|
Investment
company registered under section 8 of the Investment Company Act of 1940
(15 U.S.C. 80a-8);
|
|
(e)
|
[ ]
|
An
investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
|
|
|
(f)
|
[X
]
|
An
employee benefit plan or endowment fund in accordance with Section
240.13d-1(b)(1)(ii)(F);
|
|
|
(g)
|
[ ]
|
A
parent holding company or control person in accordance with Section
240.13d-1(b)(1)(ii)(G);
|
|
|
(h)
|
[ ]
|
A
savings association as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813);
|
|
|
(i)
|
[ ]
|
A
church plan that is excluded from the definition of an investment company
under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.
80a-3); and
|
|
|
(j)
|
[ ]
|
Group,
in accordance with Section
240.13d-1(b)(1)(ii)(J).
|
|
|
ITEM
4
|
OWNERSHIP:
The KSOP holds an aggregate of 472,969 shares of Common Stock
(10.7% of the outstanding shares). The KSOP has sole voting power
with respect to shares held by it which have not been allocated to
participant accounts, shared voting power with respect to shares held by
it which have been allocated to participant accounts, sole dispositive
power with respect to all shares (allocated and unallocated) held by the
ESOP Portion and shared dispositive power with respect to all shares held
by the 401(k) Portion.
Pursuant to the KSOP, participants in the KSOP are entitled to
instruct the KSOP trustees as to the voting of the shares allocated to
their KSOP accounts. On each issue with respect to which
shareholders are entitled to vote, the trustees are required to vote
the shares held by the KSOP which have not been allocated to participant
accounts in the manner directed under the KSOP.
|
||
|
ITEM
5
|
OWNERSHIP
OF FIVE PERCENT OR LESS OF A CLASS:
Not
applicable.
|
||
|
ITEM
6.
|
OWNERSHIP
OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON:
Not
Applicable.
|
||
|
ITEM
7.
|
IDENTIFICATION
AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING
REPORTED ON BY THE PARENT HOLDING COMPANY:
Not
Applicable.
|
||
|
ITEM
8.
|
IDENTIFICATION
AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not
Applicable.
|
||
|
ITEM
9.
|
NOTICE
OF DISSOLUTION OF GROUP:
Not
Applicable.
|
||
| ITEM 10. |
CERTIFICATIONS
By
signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired and are held in the ordinary
course of business and were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer
of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or
effect.
|
|
SIGNATURE
|
After
reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and
correct.
|
|
Date:
February 16, 2010
|
FIRST
PACTRUST BANCORP, INC. 401(k)
EMPLOYEE
STOCK OWNERSHIP PLAN
|
||
|
By:
By:
|
First
PacTrust Bancorp, Inc., as administrator for the
plan
/s/
James P.
Sheehy
|
||
| Name: | James P. Sheehy | ||
| Title: | Executive Vice President -- Secretary and Treasurer | ||