Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SIERRA BANCORPBSRR · Entity 5450 | EVP/Chief Credit Officer | October 22, 2020 | October 23, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SIERRA BANCORP
Report date October 22, 2020 · Filed October 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-10-23 transaction · row 10
10 source rows · reconciled sequenceRow 1 · 2020-10-22 · Exercise / conversion · Acquired 5,000 · Balance 5,000 Row 2 · 2020-10-22 · Sale · Disposed 5,000 · Balance 0 Row 3 · 2020-10-22 · Exercise / conversion · Acquired 5,000 · Balance 5,000 Row 4 · 2020-10-22 · Sale · Disposed 5,000 · Balance 0 Row 5 · 2020-10-22 · Exercise / conversion · Acquired 2,450 · Balance 2,450 Row 6 · 2020-10-22 · Sale · Disposed 2,450 · Balance 0 Row 7 · 2020-10-23 · Exercise / conversion · Acquired 1,550 · Balance 1,550 Row 8 · 2020-10-23 · Sale · Disposed 1,550 · Balance 0 Row 9 · 2020-10-23 · Exercise / conversion · Acquired 2,700 · Balance 2,700 Row 10 · 2020-10-23 · Sale · Disposed 2,700 · Balance 0 |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $17.25 · Expires 2026-02-18 | Direct | 0 |
Reported balance
After 2020-10-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-10-22 · Exercise / conversion · Disposed 5,000 · Balance 0 |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $16.35 · Expires 2024-11-20 | Direct | 0 |
Reported balance
After 2020-10-22 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-10-22 · Exercise / conversion · Disposed 5,000 · Balance 0 F1: This option is immediately vested. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $10.73 · Expires 2020-11-18 | Direct | 1,550 |
Reported balance
After 2020-10-22 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2020-10-22 · Exercise / conversion · Disposed 2,450 · Balance 1,550 F2: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $10.73 · Expires 2020-11-18 | Direct | 0 |
Reported balance
After 2020-10-23 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2020-10-23 · Exercise / conversion · Disposed 1,550 · Balance 0 F2: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $10.21 · Expires 2022-11-15 | Direct | 0 |
Reported balance
After 2020-10-23 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2020-10-23 · Exercise / conversion · Disposed 2,700 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: This option is immediately vested.
F2: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 2,700 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · derivative · entry 15 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,700 shares Expires 2022-11-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 1,550 | $0.00 Strike: $10.73 | $0.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · derivative · entry 14 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,550 shares Expires 2020-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option. Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 2,700 | $20.75 | $56,025.81 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 10 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 2,700 | $10.21 | $27,567.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 9 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,700 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 1,550 | $20.75 | $32,162.97 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 8 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 1,550 | $10.73 | $16,631.50 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 7 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,550 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 2,450 | $0.00 Strike: $10.73 | $0.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · derivative · entry 13 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,550 Underlying: Common Stock · 2,450 shares Expires 2020-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 5,000 | $0.00 Strike: $16.35 | $0.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · derivative · entry 12 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2024-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This option is immediately vested. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 5,000 | $0.00 Strike: $17.25 | $0.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · derivative · entry 11 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2026-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 2,450 | $20.70 | $50,715.49 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 6 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 2,450 | $10.73 | $26,288.50 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 5 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,450 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 5,000 | $20.70 | $103,501.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 4 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 5,000 | $16.35 | $81,750.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 3 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 5,000 | $20.70 | $103,501.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 2 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 23:22 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 5,000 | $17.25 | $86,250.00 |
DisclosureSEC source: 0001127602-20-027473 · form4.xml · nonDerivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 23:21 UTC | SIERRA BANCORP BSRR · Entity 5450 | GrantStock Options · Derivative | 1,312 | $27.11 Strike: $27.11 | $35,568.32 |
DisclosureSEC source: 0001127602-20-007382 · form4.xml · derivative · entry 2 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,312 Underlying: Common Stock · 1,312 shares Expires 2030-02-20 F2 · security: Non-Qualified Stock Option Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 23:21 UTC | SIERRA BANCORP BSRR · Entity 5450 | GrantStock Options · Derivative | 3,688 | $27.11 Strike: $27.11 | $99,981.68 |
DisclosureSEC source: 0001127602-20-007382 · form4.xml · derivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,688 Underlying: Common Stock · 3,688 shares Expires 2030-02-20 F1 · security: Incentive Stock Option Read SEC document |
| November 05, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 3,162 | $0.00 Strike: $8.80 | $0.00 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · derivative · entry 6 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,162 shares Expires 2019-11-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 3,162 | $27.77 | $87,808.42 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · nonDerivative · entry 4 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 05, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 3,162 | $8.80 | $27,825.60 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · nonDerivative · entry 3 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,162 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 04, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 838 | $0.00 Strike: $8.80 | $0.00 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · derivative · entry 5 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,162 Underlying: Common Stock · 838 shares Expires 2019-11-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 04, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 838 | $27.74 | $23,246.46 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · nonDerivative · entry 2 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 04, 2019 Filed Nov 5, 2019 21:57 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 838 | $8.80 | $7,374.40 |
DisclosureSEC source: 0001127602-19-031940 · form4.xml · nonDerivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 838 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 21, 2019 Filed Feb 22, 2019 20:17 UTC | SIERRA BANCORP BSRR · Entity 5450 | GrantStock Options · Derivative | 5,000 | $27.30 Strike: $27.30 | $136,500.00 |
DisclosureSEC source: 0001127602-19-007702 · form4.xml · derivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2029-02-21 Read SEC document |
| September 07, 2018 Filed Sep 7, 2018 21:47 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionStock Options · Derivative | 2,000 | $0.00 Strike: $19.19 | $0.00 |
DisclosureSEC source: 0001127602-18-027122 · form4.xml · derivative · entry 3 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2018-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Represents date on which first installment of the reported option becomes exercisable. All options reported become cumulatively exercisable in installments of 20% per year commencing one year from the date of grant and ending five years before the expiration of the option. Read SEC document |
| September 07, 2018 Filed Sep 7, 2018 21:47 UTC | SIERRA BANCORP BSRR · Entity 5450 | SaleCommon Stock | 2,000 | $30.22 | $60,433.00 |
DisclosureSEC source: 0001127602-18-027122 · form4.xml · nonDerivative · entry 2 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 07, 2018 Filed Sep 7, 2018 21:47 UTC | SIERRA BANCORP BSRR · Entity 5450 | Exercise / conversionCommon Stock | 2,000 | $19.19 | $38,380.00 |
DisclosureSEC source: 0001127602-18-027122 · form4.xml · nonDerivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 23:17 UTC | SIERRA BANCORP BSRR · Entity 5450 | GrantStock Options · Derivative | 5,000 | $27.35 Strike: $27.35 | $136,750.00 |
DisclosureSEC source: 0001127602-18-006798 · form4.xml · derivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2028-02-15 Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 18:59 UTC | SIERRA BANCORP BSRR · Entity 5450 | GrantStock Options · Derivative | 5,000 | $28.21 Strike: $28.21 | $141,050.00 |
DisclosureSEC source: 0001127602-17-006814 · form4.xml · derivative · entry 1 Gardunio James F · CIK 0001321939 · EVP/Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2027-02-16 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.