Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BANC OF CALIFORNIA, INC.BANC · Entity 4259 | Director | May 06, 2026 | May 08, 2026 |
| Bancorp, Inc.TBBK · Entity 4314 | Director | May 26, 2023 | June 01, 2023 |
| GUARANTY FEDERAL BANCSHARES INCGFED · Entity 128338 | 10% owner | August 14, 2017 | August 15, 2017 |
| HERITAGE COMMERCE CORPHTBK · Entity 52106 | Director | November 22, 2016 | November 23, 2016 |
| NORTHPOINTE BANCSHARES INCNPB · Entity 288 | Director | February 13, 2025 | February 14, 2025 |
| Primis Financial Corp.FRST · Entity 1375 | Director | August 04, 2021 | August 06, 2021 |
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.
BANC OF CALIFORNIA, INC.
Report date May 06, 2026 · Filed May 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 193,772 |
Reported balance
After 2026-05-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-06 · Grant · Acquired 4,780 · Balance 193,772 F1: 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: Amount reported includes 298 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 18,721 |
Reported balance
Holding disclosure · report date 2026-05-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 18,721 |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Amount reported includes 298 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.
Bancorp, Inc.
Report date May 26, 2023 · Filed June 01, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Foonote | 9,700 |
Reported balance
After 2023-05-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-05-26 · Grant · Acquired 5,102 · Balance 9,700 F1: 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: 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: 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. |
| Common StockSEC Table I · non-derivative | Direct | 28,346 |
Reported balance
Holding disclosure · report date 2023-05-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 28,346 F4: These shares were received by the reporting person from Advisors IV in the pro-rata, in-kind distributions of shares of Common Stock effected by Advisors IV to its members, for no additional consideration, in transactions exempt from Section 16 pursuant to Rule 16a-9. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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: 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.
F4: These shares were received by the reporting person from Advisors IV in the pro-rata, in-kind distributions of shares of Common Stock effected by Advisors IV to its members, for no additional consideration, in transactions exempt from Section 16 pursuant to Rule 16a-9.
GUARANTY FEDERAL BANCSHARES INC
Report date August 14, 2017 · Filed August 15, 2017
Jointly reported with Castle Creek Capital Partners V, LP, Castle Creek Capital V LLC, THOMAS J MIKESELL, MERLO MARK G, Pietrzak John
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Guaranty Federal Bancshares, Inc. Common StockSEC Table I · non-derivative | Direct | 918,804 |
Reported balance
After 2017-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-14 · Purchase · Acquired 24,782 · Balance 918,804 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
HERITAGE COMMERCE CORP
Report date November 22, 2016 · Filed November 23, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectIndirect By Partnership | 3,702 |
Reported balance
After 2016-11-22 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-11-22 · Sale · Disposed 739,137 · Balance 3,702 F1: 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: 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. |
| Standard Employee Option - NSOSEC Table II · derivative / convertible security · Conversion / exercise price $5.16 · Expires 2021-06-16 | IndirectIndirect By Partnership | 4,000 |
Reported balance
Holding disclosure · report date 2016-11-22 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 4,000 F3: The securities are held by Castle Creek Capital Partners IV, LP ("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. 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. |
| Standard Employee Option - NSOSEC Table II · derivative / convertible security · Conversion / exercise price $6.39 · Expires 2022-05-01 | IndirectIndirect By Partnership | 4,000 |
Reported balance
Holding disclosure · report date 2016-11-22 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 4,000 F3: The securities are held by Castle Creek Capital Partners IV, LP ("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. 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. |
| Standard Employee Option - NSOSEC Table II · derivative / convertible security · Conversion / exercise price $6.57 · Expires 2023-04-30 | IndirectIndirect By Partnership | 4,000 |
Reported balance
Holding disclosure · report date 2016-11-22 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 4,000 F3: The securities are held by Castle Creek Capital Partners IV, LP ("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. 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. |
| Standard Employee Option - NSOSEC Table II · derivative / convertible security · Conversion / exercise price $8.07 · Expires 2024-02-27 | IndirectIndirect By Partnership | 4,000 |
Reported balance
Holding disclosure · report date 2016-11-22 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 4,000 F3: The securities are held by Castle Creek Capital Partners IV, LP ("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. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: The securities are held by Castle Creek Capital Partners IV, LP ("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. 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.
NORTHPOINTE BANCSHARES INC
Report date February 13, 2025 · Filed February 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2025-02-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: 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 1,841,780 shares of the issuer's voting common stock and 3,972,180 of the issuer's non-voting common stock. The reporting person is a managing principal of Castle Creek Capital VI LLC, the general partner of Castle Creek Capital Partners VI, LP ("Fund VI"). Fund VI owns 2,600,000 shares of the issuer's voting common stock. The reporting person disclaims beneficial ownership of such shares of the issuer's common stock 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 1,841,780 shares of the issuer's voting common stock and 3,972,180 of the issuer's non-voting common stock. The reporting person is a managing principal of Castle Creek Capital VI LLC, the general partner of Castle Creek Capital Partners VI, LP ("Fund VI"). Fund VI owns 2,600,000 shares of the issuer's voting common stock. The reporting person disclaims beneficial ownership of such shares of the issuer's common stock 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.
Primis Financial Corp.
Report date August 04, 2021 · Filed August 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 413 |
Reported balance
After 2021-08-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-08-04 · Purchase · Acquired 413 · Balance 413 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Guaranty Bancorp
Report date January 01, 2019 · Filed January 03, 2019
Section 16 reporting ended · disclosed 2019-01-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-01-01 transaction · row 1
1 source rowRow 1 · 2019-01-01 · Disposition to issuer · Disposed 4,224 · Balance 0 F1: 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: (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. |
| Voting Common StockSEC Table I · non-derivative | IndirectBy Self as Trustee of the Eggemeyer Family Trust | 0 |
Reported balance
After 2019-01-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-01-01 · Disposition to issuer · Disposed 76,142 · Balance 0 F1: 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: (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. |
| Voting Common StockSEC Table I · non-derivative | IndirectBy IRA | 0 |
Reported balance
After 2019-01-01 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-01-01 · Disposition to issuer · Disposed 48,000 · Balance 0 F1: 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: (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. |
| Voting Common StockSEC Table I · non-derivative | IndirectBy Castle Creek Advisors IV LP | 0 |
Reported balance
After 2019-01-01 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-01-01 · Disposition to issuer · Disposed 10,878 · Balance 0 F1: 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: (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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: (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.
PACWEST BANCORP
Report date November 30, 2023 · Filed November 30, 2023
Section 16 reporting ended · disclosed 2023-11-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-11-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-11-30 · Disposition to issuer · Disposed 264,825 · Balance 0 F1: 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: 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: As a result of the Merger, Reporting Person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 0 |
Reported balance
After 2023-11-30 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-11-30 · Disposition to issuer · Disposed 28,500 · Balance 0 F1: 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: As a result of the Merger, Reporting Person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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: As a result of the Merger, Reporting Person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.
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 |
|---|---|---|---|---|---|---|
| September 12, 2016 Filed Sep 14, 2016 20:52 UTC | HERITAGE COMMERCE CORP HTBK · Entity 52106 | Disposition to issuerSeries C Preferred Stock · Derivative | 3,456,000 | $3.75 Strike: $3.75 | $12,960,000.00 |
DisclosureSEC source: 0001127602-16-062524 · form4.xml · derivative · entry 2 EGGEMEYER JOHN M III · CIK 0001197257 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Indirect By Partnership Disclosed balance after: 0 Underlying: Heritage Commerce Corp - Common Stock · 3,456,000 shares Expires 2020-08-26 F3 · derivative.exercise_date: The Series C Preferred Stock was automatically convertible following the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. F2 · ownership.nature: The securities include 3,763,225 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. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 20:52 UTC | HERITAGE COMMERCE CORP HTBK · Entity 52106 | GrantCommon Stock | 3,456,000 | $3.75 | $12,960,000.00 |
DisclosureSEC source: 0001127602-16-062524 · 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: 3,766,927 F1 · shares: The shares of common stock acquired by Castle Creek Capital Partners IV, LP ("Fund IV") were acquired in exchange for shares of Series C Preferred Stock of the Issuer, using an exchange ratio equivalent to the conversion ration of such Series C Preferred Stock. F2 · ownership.nature: The securities include 3,763,225 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. 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.