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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 | 08/03/2011 | J(1) | 435,000 | (1) | (1) | Class B Non-Voting Common Stock | 435,000 | $ 0 | 435,000 | D | ||||
Stock Option (Right to Purchase) | $ 15.81 | 06/27/2012(2) | 06/27/2011 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Option (Right to Purchase) | $ 15.81 | 06/27/2012(3) | 06/27/2021 | Common Stock | 5,631 | 8,631 | D | ||||||||
Stock Option (Right to Purchase) | $ 15.81 | 06/27/2012(4) | 06/27/2021 | Common Stock | 8,082 | 16,713 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Seabold Jeffrey T C/O FIRST PACTRUST BANCORP INC. 610 BAY BOULEVARD CHULA VISTA, CA 91910 |
/s/ /s/ James P. Sheehy, Attorney-in-Fact | 08/05/2011 | |
**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) | Represents portion of warrant originally granted by the issuer to COR Advisors LLC transferred by COR Advisors LLC to the reporting person on August 3, 2011 as compensation for services provided by the reporting person to COR Advisors LLC. The portion of the warrant transferred to the reporting person consists of: 95,000 shares as to which the warrant became exercisable on January 1, 2011, (ii) 130,000 shares as to which the warrant became exercisable on April 1, 2011, (iii) 130,000 shares as to which the warrant became exercisable on July 1, 2011; and (iv) 80,000 shares as to which the warrant will become exercisable on October 1, 2011. The warrant is exercisable with respect to each vesting tranche for five years after the tranche's vesting date. |
(2) | Represents stock option granted as annual compensation grant to the reporting person for service as a director pursuant to the issuer's 2011 Omnibus Incentive Plan. The option will vest 100% on June 27, 2012. |
(3) | Represents stock option granted to the reporting person pursuant to the issuer's 2011 Omnibus Incentive Plan in lieu of annual compensation grant of restricted stock to the reporting person for service as a director pursuant to the issuer's 2011 Omnibus Incentive Plan. The option will vest 100% on June 27, 2012. |
(4) | Represents stock option granted to the reporting person pursuant to the issuer's 2011 Omnibus Incentive Plan in lieu of retainer and meeting fees for service as a director of $29,499.85. The option will vest 100% on June 27, 2012. |