Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TRICO BANCSHARES /TCBK · Entity 4626 | EVP Chief Commercial Lending | June 25, 2019 | June 27, 2019 |
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.
TRICO BANCSHARES /
Report date June 25, 2019 · Filed June 27, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 205,313.68 |
Ending reported balance
After 2019-06-25 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-06-25 · Exercise / conversion · Acquired 2,253 · Balance 206,348.68 F1: Vesting of performance based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number of shares based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 1,502 PSUs which was reported in the original Form 4 for this grant) Row 2 · 2019-06-25 · Tax withholding · Disposed 1,035 · Balance 205,313.68 F2: Reflects shares withheld to pay taxes. |
| Common StockSEC Table I · non-derivative | IndirectBy ESOP | 47,742.65 |
Reported balance
After 2019-06-25 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-06-25 · Other · Acquired 0 · Balance 47,742.65 F3: No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned in reporting persons ESOP account as of December 31, 2018. |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 2,299 |
Reported balance
After 2019-06-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-06-25 · Exercise / conversion · Disposed 2,253 · Balance 2,299 F1: Vesting of performance based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number of shares based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 1,502 PSUs which was reported in the original Form 4 for this grant) |
Filing footnotes · ownership attribution and instrument terms
F1: Vesting of performance based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number of shares based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 1,502 PSUs which was reported in the original Form 4 for this grant)
F2: Reflects shares withheld to pay taxes.
F3: No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned in reporting persons ESOP account as of December 31, 2018.
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 |
|---|---|---|---|---|---|---|
| April 17, 2018 Filed Apr 17, 2018 15:59 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-18-000002 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F1 · kind: No transaction occurred among theses shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 15:59 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionOption Common Stock · Derivative | 8,000 | $15.40 Strike: $15.40 | $123,200.00 |
DisclosureSEC source: 0001620863-18-000002 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,800 Underlying: Common Stock · 8,000 shares Expires 2018-05-20 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. Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 15:59 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 8,000 | $15.40 | $123,200.00 |
DisclosureSEC source: 0001620863-18-000002 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,550.35 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 |
| August 23, 2017 Filed Aug 23, 2017 19:17 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000081 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F2 · kind: No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| August 22, 2017 Filed Aug 23, 2017 19:17 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionPerformance Stock Unit · Derivative | 2,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000081 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,279 Underlying: Common Stock · 2,247 shares Expires not disclosed 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_price: Each performance-based restricted stock unit represented the right to receive 0%-150% of the target number of shares (which was reported in the original Form 4 for this grant, which was 1,498 shares) based on the Issuer's total stockholder return relative to the KBW Regional Banking Index. F1 · derivative.exercise_date: Each performance-based restricted stock unit represented the right to receive 0%-150% of the target number of shares (which was reported in the original Form 4 for this grant, which was 1,498 shares) based on the Issuer's total stockholder return relative to the KBW Regional Banking Index. F1 · derivative.expiration_date: Each performance-based restricted stock unit represented the right to receive 0%-150% of the target number of shares (which was reported in the original Form 4 for this grant, which was 1,498 shares) based on the Issuer's total stockholder return relative to the KBW Regional Banking Index. Read SEC document |
| August 22, 2017 Filed Aug 23, 2017 19:17 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 2,247 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001620863-17-000081 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,351.49 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 · price: Each performance-based restricted stock unit represented the right to receive 0%-150% of the target number of shares (which was reported in the original Form 4 for this grant, which was 1,498 shares) based on the Issuer's total stockholder return relative to the KBW Regional Banking Index. Read SEC document |
| August 14, 2017 Filed Aug 14, 2017 17:44 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000074 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F2 · kind: No transactions occurred amongst these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 17:44 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionRestricted Stock Units · Derivative | 398 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000074 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,573 Underlying: Common Stock · 398 shares Expires not disclosed 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_price: Result of vesting of an RSU granted August 11th, 2016 that was vested on August 11th, 2017 F1 · derivative.exercise_date: Result of vesting of an RSU granted August 11th, 2016 that was vested on August 11th, 2017 F1 · derivative.expiration_date: Result of vesting of an RSU granted August 11th, 2016 that was vested on August 11th, 2017 Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 17:44 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 398 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001620863-17-000074 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,104.49 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 · price: Result of vesting of an RSU granted August 11th, 2016 that was vested on August 11th, 2017 Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 22:41 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000065 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F1 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 22:41 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000065 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,917.63 F1 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| May 23, 2017 Filed Jun 5, 2017 22:41 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | GrantPerformance Stock Unit · Derivative | 1,172 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000065 · primary_doc.xml · derivative · entry 4 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,777 Underlying: Common Stock · 1,172 shares Expires 2020-05-25 F3 · derivative.exercise_price: Represents performance-based restricted stock units (PSUs) that will vest between 0% and 150% of the target number of shares ( the number of shares listed in box 4) based on May 25th, 2020 based on the issuers total stockholder return relative to the KBW Regional Banking Index. The PSUs were issued to the Reporting person pursuant to the issuers 2009 Equity Incentive Plan and Performance Award agreement and are subject to the forfeitures, accelerated vesting and other restrictions as set forth in the plan and the agreement. F3 · derivative.exercise_date: Represents performance-based restricted stock units (PSUs) that will vest between 0% and 150% of the target number of shares ( the number of shares listed in box 4) based on May 25th, 2020 based on the issuers total stockholder return relative to the KBW Regional Banking Index. The PSUs were issued to the Reporting person pursuant to the issuers 2009 Equity Incentive Plan and Performance Award agreement and are subject to the forfeitures, accelerated vesting and other restrictions as set forth in the plan and the agreement. Read SEC document |
| May 23, 2017 Filed Jun 5, 2017 22:41 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | GrantRestricted Stock Units · Derivative | 1,172 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000065 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,952 Underlying: Common Stock · 1,172 shares Expires 2021-05-24 F2 · derivative.exercise_price: Represents the grant of Restricted Stock Units. The shares vest as follows: 25% on May 23rd 2018, 25% on May 23rd 2019, 25% on May 25th 2020, and 25% May 24th 2021 F2 · derivative.exercise_date: Represents the grant of Restricted Stock Units. The shares vest as follows: 25% on May 23rd 2018, 25% on May 23rd 2019, 25% on May 25th 2020, and 25% May 24th 2021 Read SEC document |
| May 19, 2017 Filed May 22, 2017 19:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionRestricted Stock Unit · Derivative | 382 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000031 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,943 Underlying: Common Stock · 382 shares Expires not disclosed 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_price: Result of vesting of an RSU granted on May 19th, 2016 that was vested on May 19th, 2017. F1 · derivative.exercise_date: Result of vesting of an RSU granted on May 19th, 2016 that was vested on May 19th, 2017. F1 · derivative.expiration_date: Result of vesting of an RSU granted on May 19th, 2016 that was vested on May 19th, 2017. Read SEC document |
| May 19, 2017 Filed May 22, 2017 19:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000031 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F2 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| May 19, 2017 Filed May 22, 2017 19:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 382 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001620863-17-000031 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,499.63 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 · price: Result of vesting of an RSU granted on May 19th, 2016 that was vested on May 19th, 2017. Read SEC document |
| May 18, 2017 Filed May 22, 2017 16:35 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionRestricted Stock Units · Derivative | 1,071 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000026 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,325 Underlying: Common Stock · 1,071 shares Expires not disclosed 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_price: Result of vesting of an RSU granted on May 19, 2016 that was vested on May 18, 2017. F1 · derivative.exercise_date: Result of vesting of an RSU granted on May 19, 2016 that was vested on May 18, 2017. F1 · derivative.expiration_date: Result of vesting of an RSU granted on May 19, 2016 that was vested on May 18, 2017. Read SEC document |
| May 18, 2017 Filed May 22, 2017 16:35 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000026 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F2 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| May 18, 2017 Filed May 22, 2017 16:35 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 1,071 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001620863-17-000026 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,117 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 · price: Result of vesting of an RSU granted on May 19, 2016 that was vested on May 18, 2017. Read SEC document |
| May 10, 2017 Filed May 12, 2017 17:07 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionOption Common Stock · Derivative | 19,400 | $22.54 Strike: $22.54 | $437,276.00 |
DisclosureSEC source: 0001620863-17-000016 · primary_doc.xml · derivative · entry 4 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,046.63 Underlying: Common Stock · 19,400 shares Expires 2017-05-22 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 |
| May 10, 2017 Filed May 12, 2017 17:07 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000016 · primary_doc.xml · nonDerivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F1 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| May 10, 2017 Filed May 12, 2017 17:07 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Tax withholdingCommon Stock | 12,187 | $35.88 | $437,269.56 |
DisclosureSEC source: 0001620863-17-000016 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,046.63 Read SEC document |
| May 10, 2017 Filed May 12, 2017 17:07 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 19,400 | $22.54 | $437,276.00 |
DisclosureSEC source: 0001620863-17-000016 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,233.63 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 |
| May 07, 2017 Filed May 12, 2017 17:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionRestricted Stock Units · Derivative | 418 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000018 · primary_doc.xml · derivative · entry 3 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,396 Underlying: Common Stock · 418 shares Expires not disclosed 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_price: Result of vesting of an RSU granted May 7, 2015 that was vested on May 7, 2017 F1 · derivative.exercise_date: Result of vesting of an RSU granted May 7, 2015 that was vested on May 7, 2017 F1 · derivative.expiration_date: Result of vesting of an RSU granted May 7, 2015 that was vested on May 7, 2017 Read SEC document |
| May 07, 2017 Filed May 12, 2017 17:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001620863-17-000018 · primary_doc.xml · nonDerivative · entry 2 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Indirect · By ESOP Disclosed balance after: 45,065.33 F2 · kind: No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Read SEC document |
| May 07, 2017 Filed May 12, 2017 17:39 UTC | TRICO BANCSHARES / TCBK · Entity 4626 | Exercise / conversionCommon Stock | 418 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001620863-17-000018 · primary_doc.xml · nonDerivative · entry 1 OSULLIVAN RICHARD B · CIK 0001198499 · EVP Wholesale Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,251.63 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 · price: Result of vesting of an RSU granted May 7, 2015 that was vested on May 7, 2017 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.