EGGEMEYER JOHN M III

SEC source: 0001197257-26-000002 · primarydocument.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,772

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Amount reported includes 298 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.

SEC source: 0001562180-25-003715 · primarydocument.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,694

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Amount reported includes 210 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.

SEC source: 0001562180-24-003996 · primarydocument.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,601

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

F2 · balance_after: Amount reported includes 68 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.

SEC source: 0001562180-23-008327 · primarydocument.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,167

F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for service on the Issuer's Board of Directors from November 30, 2023, the completion of the merger of the Issuer with PacWest Bancorp, until the Issuer's 2024 Annual Stockholder Meeting. Shares will be issued in full upon vesting, which is scheduled to occur May 9, 2024.

SEC source: 0001415889-23-015653 · form4-12012023_021257.xml · nonDerivative · entry 2

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By IRA

Disclosed balance after: 0

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated July 25, 2023, by and among Issuer, Banc of California, Inc. ("BANC"), and Cal Merger Sub, Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, at the effective time (the "Effective Time") of the merger between Issuer and Cal Merger Sub, Inc. (the "Merger"), each share of Issuer common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive 0.6569 shares of BANC common stock (the "Merger Consideration"). All fractional shares were paid in cash. The Merger closed on November 30, 2023.

F3 · balance_after: As a result of the Merger, Reporting Person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.

SEC source: 0001415889-23-015653 · form4-12012023_021257.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated July 25, 2023, by and among Issuer, Banc of California, Inc. ("BANC"), and Cal Merger Sub, Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, at the effective time (the "Effective Time") of the merger between Issuer and Cal Merger Sub, Inc. (the "Merger"), each share of Issuer common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive 0.6569 shares of BANC common stock (the "Merger Consideration"). All fractional shares were paid in cash. The Merger closed on November 30, 2023.

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, a restricted stock award of 4,704 shares of Issuer common stock fully vested and converted automatically into the right to receive (without interest) the Merger Consideration in respect of each share of Issuer common stock subject to such Issuer RSAs immediately prior to the Effective Time, with any fractional shares rounded to the nearest whole share of BANC Common Stock.

F3 · balance_after: As a result of the Merger, Reporting Person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.

SEC source: 0001562180-23-008084 · primarydocument.xml · nonDerivative · entry 2

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By IRA

Disclosed balance after: 18,721

F1 · shares: Represents shares acquired pursuant to the Agreement and Plan of Merger, dated July 25, 2023, by and among Issuer, PacWest Bancorp ("PACW") and Cal Merger Sub, Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, at the effective time (the "Effective Time") of the merger between PACW and Cal Merger Sub, Inc., each share of PACW common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive 0.6569 shares of Issuer common stock with cash-in-lieu of any fractional share.

SEC source: 0001562180-23-008084 · primarydocument.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,964

F1 · shares: Represents shares acquired pursuant to the Agreement and Plan of Merger, dated July 25, 2023, by and among Issuer, PacWest Bancorp ("PACW") and Cal Merger Sub, Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, at the effective time (the "Effective Time") of the merger between PACW and Cal Merger Sub, Inc., each share of PACW common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive 0.6569 shares of Issuer common stock with cash-in-lieu of any fractional share.

SEC source: 0001104659-23-066750 · tm2317218-2_4seq1.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Foonote

Disclosed balance after: 9,700

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 26, 2023 and will become fully vested on May 26, 2024.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 26, 2023 and will become fully vested on May 26, 2024.

F2 · balance_after: This amount has been reduced to reflect the pro-rata, in-kind distributions of shares of Common Stock effected by Advisors IV to its members, for no additional consideration.

F3 · ownership.nature: These securities, which include 4,598 shares of vested Common Stock previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-23-007361 · form4-05042023_090521.xml · nonDerivative · entry 2

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,825

F1 · shares: On May 2, 2023, upon Reporting Person's election, Reporting Person was granted a restricted stock award ("RSA") of 18,818 shares of Issuer's common stock in lieu of quarterly cash Board and supplemental retainers for the current one-year term. This RSA will vest in four substantially equal installments on the date of grant and on the three-month, six-month, and nine-month anniversaries of the last day of the month in which the RSA was granted.

SEC source: 0001415889-23-007361 · form4-05042023_090521.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,007

SEC source: 0001415889-23-004816 · form4-03142023_120306.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 28,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.20 to $15.79, inclusive. The reporting person undertakes to provide to PacWest Bancorp, any security holder of PacWest Bancorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001104659-22-066017 · tm2217029-1_4seq1.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Foonote

Disclosed balance after: 52,482

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 25, 2022 and will become fully vested on May 25, 2023.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 25, 2022 and will become fully vested on May 25, 2023.

F2 · ownership.nature: These securities, which include 47,884 shares of vested Common Stock previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-22-003016 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,603

SEC source: 0001104659-21-101450 · tm2124321-1_4seq1.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413

F1 · balance_after: The reporting person is a managing principal of Castle Creek Capital VII LLC, the general partner of Castle Creek Capital Partners VII, LP ("Fund VII"). Fund VII owns 1,887,364 shares of the Issuer's common stock. The reporting person disclaims beneficial ownership of such shares of common stock, except to the extent of his pecuniary interest in Fund VII, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares of common stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-21-005281 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,829

SEC source: 0001104659-21-019799 · a4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Foonote

Disclosed balance after: 47,884

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on February 9, 2021 and will become fully vested on February 9, 2022.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on February 9, 2021 and will become fully vested on February 9, 2022.

F2 · ownership.nature: These securities, which (i) include 30,000 shares of vested Common Stock and (ii) 13,100 restricted stock units granted on May 20, 2020 (which become fully vested on May 20, 2021), in each case previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-20-064888 · a4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Foonote

Disclosed balance after: 43,100

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 20, 2020 and will become fully vested on May 20, 2021.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 20, 2020 and will become fully vested on May 20, 2021.

F2 · ownership.nature: These securities, which include 30,000 shares of Common Stock previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-20-005999 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,184

SEC source: 0001179110-19-006090 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,391

SEC source: 0001104659-19-007531 · a4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Foonote

Disclosed balance after: 30,000

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc. on February 11, 2019 and will become fully vested on February 11, 2020.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. ("Common Stock"), were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc. on February 11, 2019 and will become fully vested on February 11, 2020.

F2 · ownership.nature: These securities, which include (i) 15,000 shares of Common Stock and (ii) an additional 7,500 restricted stock units (which represent the right to receive one share of Common Stock and are scheduled to become fully vested on May 16, 2019), in each case previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-19-000092 · edgar.xml · nonDerivative · entry 4

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Advisors IV LP

Disclosed balance after: 0

F1 · price: On January 1, 2019 (the "Effective Date"), pursuant to the Agreement and Plan of Reorganization dated as of May 22, 2018, by and between Independent Bank Group, Inc. ("Independent") and Guaranty Bancorp ("Guaranty"), Guaranty merged with and into Independent (the "Merger"). In connection with the Merger each outstanding share of Guaranty common stock, subject to certain limited exceptions, was converted into the right to receive 0.45 of a share of Independent common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of Independent common stock which the holder would otherwise be entitled to receive multiplied by $51.92. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the shares of Guaranty common stock reported in Table I, an aggregate of 62,658 shares of Independent common stock, with cash payable in lieu of a fractional share of Independent common stock, subject to any required tax

F2 · price: (continued from footnote 1) withholding under applicable law. On December 31, 2018, the last trading day preceding the Effective Date, the closing price of Independent common stock was $45.77 per share.

SEC source: 0001179110-19-000092 · edgar.xml · nonDerivative · entry 3

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

F1 · price: On January 1, 2019 (the "Effective Date"), pursuant to the Agreement and Plan of Reorganization dated as of May 22, 2018, by and between Independent Bank Group, Inc. ("Independent") and Guaranty Bancorp ("Guaranty"), Guaranty merged with and into Independent (the "Merger"). In connection with the Merger each outstanding share of Guaranty common stock, subject to certain limited exceptions, was converted into the right to receive 0.45 of a share of Independent common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of Independent common stock which the holder would otherwise be entitled to receive multiplied by $51.92. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the shares of Guaranty common stock reported in Table I, an aggregate of 62,658 shares of Independent common stock, with cash payable in lieu of a fractional share of Independent common stock, subject to any required tax

F2 · price: (continued from footnote 1) withholding under applicable law. On December 31, 2018, the last trading day preceding the Effective Date, the closing price of Independent common stock was $45.77 per share.

SEC source: 0001179110-19-000092 · edgar.xml · nonDerivative · entry 2

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Self as Trustee of the Eggemeyer Family Trust

Disclosed balance after: 0

F1 · price: On January 1, 2019 (the "Effective Date"), pursuant to the Agreement and Plan of Reorganization dated as of May 22, 2018, by and between Independent Bank Group, Inc. ("Independent") and Guaranty Bancorp ("Guaranty"), Guaranty merged with and into Independent (the "Merger"). In connection with the Merger each outstanding share of Guaranty common stock, subject to certain limited exceptions, was converted into the right to receive 0.45 of a share of Independent common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of Independent common stock which the holder would otherwise be entitled to receive multiplied by $51.92. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the shares of Guaranty common stock reported in Table I, an aggregate of 62,658 shares of Independent common stock, with cash payable in lieu of a fractional share of Independent common stock, subject to any required tax

F2 · price: (continued from footnote 1) withholding under applicable law. On December 31, 2018, the last trading day preceding the Effective Date, the closing price of Independent common stock was $45.77 per share.

SEC source: 0001179110-19-000092 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: On January 1, 2019 (the "Effective Date"), pursuant to the Agreement and Plan of Reorganization dated as of May 22, 2018, by and between Independent Bank Group, Inc. ("Independent") and Guaranty Bancorp ("Guaranty"), Guaranty merged with and into Independent (the "Merger"). In connection with the Merger each outstanding share of Guaranty common stock, subject to certain limited exceptions, was converted into the right to receive 0.45 of a share of Independent common stock, with cash payable in lieu of a fractional share in an amount equal to the fraction of a share of Independent common stock which the holder would otherwise be entitled to receive multiplied by $51.92. In connection with the Merger, the reporting person has the right to receive, in exchange for all of the shares of Guaranty common stock reported in Table I, an aggregate of 62,658 shares of Independent common stock, with cash payable in lieu of a fractional share of Independent common stock, subject to any required tax

F2 · price: (continued from footnote 1) withholding under applicable law. On December 31, 2018, the last trading day preceding the Effective Date, the closing price of Independent common stock was $45.77 per share.

SEC source: 0001179110-18-012491 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,370

SEC source: 0001104659-18-034485 · a4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

Castle Creek Capital VI LLC · CIK 0001671438 · Director

Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director

THOMAS J MIKESELL · CIK 0001242722 · Director

MERLO MARK G · CIK 0001332829 · Director

Pietrzak John · CIK 0001481798 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,500

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.

F1 · ownership.nature: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.

SEC source: 0001104659-18-049233 · a4a.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 22,500

F1 · shares: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.

F1 · price: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.

F2 · ownership.nature: These securities, which include 15,000 shares of common stock of The Bancorp, Inc. previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. The reporting person disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-18-006875 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,370

SEC source: 0001179110-18-006484 · edgar.xml · nonDerivative · entry 5

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Advisors IV LP

Disclosed balance after: 10,878

F1 · shares: Represents shares of restricted stock awarded on May 7, 2018, which are scheduled to vest in full on May 7, 2019.

SEC source: 0001104659-18-035714 · a4a.xml · nonDerivative · entry 4

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Advisors IV LP

Disclosed balance after: 10,878

F1 · shares: Represents shares of restricted stock awarded on May 7, 2018, which are scheduled to vest in full on May 7, 2019. Such shares were issued to Castle Creek Advisors IV, LLC on behalf of the reporting person in the reporting person's capacity as a director of the Issuer.

SEC source: 0001104659-17-052648 · a4.xml · nonDerivative · entry 1

Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director

Castle Creek Capital VI LLC · CIK 0001671438 · Director

EGGEMEYER JOHN M III · CIK 0001197257 · Director

THOMAS J MIKESELL · CIK 0001242722 · Director

MERLO MARK G · CIK 0001332829 · Director

Pietrzak John · CIK 0001481798 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,026,598

F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.4700 to $7.5000, inclusive. The reporting persons undertake to provide to The Bancorp, Inc., any security holder of The Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital Partners VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-17-052456 · a4.xml · nonDerivative · entry 1

Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director

Castle Creek Capital VI LLC · CIK 0001671438 · Director

EGGEMEYER JOHN M III · CIK 0001197257 · Director

THOMAS J MIKESELL · CIK 0001242722 · Director

MERLO MARK G · CIK 0001332829 · Director

Pietrzak John · CIK 0001481798 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,932,898

F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.4000 to $7.4800, inclusive. The reporting persons undertake to provide to The Bancorp, Inc., any security holder of The Bancorp, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital Partners VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-17-052098 · a4.xml · nonDerivative · entry 1

Castle Creek Capital Partners V, LP · CIK 0001580580 · 10% owner

Castle Creek Capital V LLC · CIK 0001589685 · 10% owner

EGGEMEYER JOHN M III · CIK 0001197257 · 10% owner

THOMAS J MIKESELL · CIK 0001242722 · 10% owner

MERLO MARK G · CIK 0001332829 · 10% owner

Pietrzak John · CIK 0001481798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918,804

F1 · ownership.direct: These securities are held directly by Castle Creek Capital Partners V, LP ("Fund V"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital V LLC, the sole general partner of Fund V. Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-17-042108 · a4.xml · nonDerivative · entry 1

Castle Creek Capital Partners V, LP · CIK 0001580580 · 10% owner

Castle Creek Capital V LLC · CIK 0001589685 · 10% owner

EGGEMEYER JOHN M III · CIK 0001197257 · 10% owner

THOMAS J MIKESELL · CIK 0001242722 · 10% owner

MERLO MARK G · CIK 0001332829 · 10% owner

Pietrzak John · CIK 0001481798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 894,022

F1 · ownership.direct: These securities are held directly by Castle Creek Capital Partners V, LP ("Fund V"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital V LLC, the sole general partner of Fund V. Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital V LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001179110-17-007404 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,234

SEC source: 0001179110-17-006519 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Advisors IV LP

Disclosed balance after: 9,856

F1 · shares: Represents shares of restricted stock awarded on May 2, 2017, which are scheduled to vest in full on May 2, 2018.

SEC source: 0001104659-17-006988 · a4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director · See Remarks

Castle Creek Capital Partners VI, LP · CIK 0001666749 · Director · See Remarks

Castle Creek Capital VI LLC · CIK 0001671438 · Director · See Remarks

THOMAS J MIKESELL · CIK 0001242722 · Director · See Remarks

MERLO MARK G · CIK 0001332829 · Director · See Remarks

Pietrzak John · CIK 0001481798 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

F1 · ownership.nature: These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC, on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., and vest in three equal annual installments beginning on February 3, 2018.

SEC source: 0001179110-16-032329 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,940

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.55 to $51.725, inclusive. The reporting person undertakes to provide to PacWest Bancorp, any security holder of PacWest Bancorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001179110-16-032363 · edgar.xml · nonDerivative · entry 6

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Capital Partners IV, LP

Disclosed balance after: 1,448,849

F1 · kind: On December 2, 2016, the issuer and Castle Creek Capital Partners IV, LP ("Castle Creek") entered into an Exchange Agreement pursuant to which Castle Creek exchanged 1,019,000 shares of non-voting common stock of the issuer for 1,019,000 shares of voting common stock of the issuer.

SEC source: 0001179110-16-032363 · edgar.xml · nonDerivative · entry 5

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Capital Partners IV, LP

Disclosed balance after: 0

F1 · kind: On December 2, 2016, the issuer and Castle Creek Capital Partners IV, LP ("Castle Creek") entered into an Exchange Agreement pursuant to which Castle Creek exchanged 1,019,000 shares of non-voting common stock of the issuer for 1,019,000 shares of voting common stock of the issuer.

SEC source: 0001179110-16-032276 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,940

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.15 to $51.525, inclusive. The reporting person undertakes to provide to PacWest Bancorp, any security holder of PacWest Bancorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001179110-16-032110 · edgar.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Castle Creek Capital Partners IV, LP

Disclosed balance after: 429,849

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.75 to $21.09, inclusive. The reporting person undertakes to provide to Guaranty Bancorp, any security holder of Guaranty Bancorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001127602-16-068305 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 3,702

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.1000 to $12.5800, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-068161 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 742,839

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.500 to $12.6900, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The securities include 739,137 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-067843 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 866,927

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7500 to $12.2200, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The securities include 863,225 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-067812 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 1,916,927

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7501 to $12.2800, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The securities include 1,913,225 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-067654 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 3,703,671

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.9600 to $12.0500, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The securities include 3,699,969 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-067218 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 3,753,633

F1 · ownership.nature: The securities include 3,749,931 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.

SEC source: 0001127602-16-066986 · form4.xml · nonDerivative · entry 1

EGGEMEYER JOHN M III · CIK 0001197257 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect By Partnership

Disclosed balance after: 3,754,627

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.3000 to $12.3500, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.nature: The securities include 3,750,925 shares held by Fund IV. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. The securities also include 3,702 shares of restricted stock subject to vesting granted to Castle Creek Advisors IV LLC ("Advisors IV") on behalf of Mr. Eggemeyer. Mr. Eggemeyer is a managing principal of Advisors IV. Accordingly, securities owned by Advisors IV may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.