-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NFiV2GSRkUQTUvmX7ddyQmjHM64j//cL6Kpl5EB62SEQifbtCWfhxqbi+5PttoXf BaxhLnSboPfAb9h/Tt54KQ== 0001179110-04-007796.txt : 20040409 0001179110-04-007796.hdr.sgml : 20040409 20040409125039 ACCESSION NUMBER: 0001179110-04-007796 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040218 FILED AS OF DATE: 20040409 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MID-STATE BANCSHARES CENTRAL INDEX KEY: 0001027324 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770442667 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1026 GRAND AVE CITY: ARROYO GRANDE STATE: CA ZIP: 93420 BUSINESS PHONE: 8054737700 MAIL ADDRESS: STREET 1: 1026 GRAND AVE CITY: ARROYO GRANDE STATE: CA ZIP: 93420 FORMER COMPANY: FORMER CONFORMED NAME: MID STATE BANCSHARES DATE OF NAME CHANGE: 19980820 FORMER COMPANY: FORMER CONFORMED NAME: BSM BANCORP DATE OF NAME CHANGE: 19961121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SACKRIDER HARRY H CENTRAL INDEX KEY: 0001198903 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23925 FILM NUMBER: 04726659 BUSINESS ADDRESS: STREET 1: MID-STATE BANCSHARES STREET 2: POST OFFICE BOX 580 CITY: ARROYO GRANDE STATE: CA ZIP: 93421-0580 BUSINESS PHONE: 8054736829 MAIL ADDRESS: STREET 1: MID-STATE BANCSHARES STREET 2: POST OFFICE BOX 580 CITY: ARROYO GRANDE STATE: CA ZIP: 93421-0580 4 1 edgar.xml FORM 4 - X0201 4 2004-02-18 0 0001027324 MID-STATE BANCSHARES MDST 0001198903 SACKRIDER HARRY H 1026 EAST GRAND AVENUE ARROYO GRANDE CA 93420 0 1 0 0 EVP/Chief Credit Officer Common Stock 17.40 2004-03-13 4 J 0 1000 17.40 A 2003-03-13 2012-03-13 Common Stock 5000 2000 I By Company Common Stock 17.10 2004-02-19 4 J 0 3597 17.10 A 2004-02-19 2013-02-19 Common Stock 17985 3597 I By Company Common Stock 24.64 2004-02-18 4 J 0 0 24.64 A 2005-02-18 2014-02-18 Common Stock 16640 0 I By Company 5,000 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Shares granted at closing market value for MDST as of March 13, 2002. Under the terms of the Company's 1996 Stock Option Plan, this grant vests 20% per year on the anniversary date of the grant for five (5) years at which time the options become 100% vested. The Optionee has another five (5) years from the 100% vesting anniversary date to exercise the shares in accordance with the terms and conditions of the Company's Plan. Additional 1,000 shares vested on March 13, 2002 under this grant, and are now available for exercise by Mr. Sackrider. Total number of shares approved by the Board of Directors as an Incentive Stock Option grant. Shares vested and now available for exercise by Mr. Sackrider under this grant. Shares granted to Mr. Sackrider by the Company that have not yet been exercised. 17,985 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 7,663 shares were issued and treated as an Incentive Stock Stock Option, and the remaining 10,322 shares were issued and treated as a Non-Qualified Stock Option. Shares granted at closing market value for MDST as of February 19, 2003. Additional 174 shares vested under the Incentive grant and 3,423 shares vested under the Non-Qualified grant. A total of 3,597 shares now vested and available for exercise under these two grants. 16,640 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 4,890 shares were issued and treated as an Incentive Stock Stock Option, and the remaining 11,750 shares were issued and treated as a Non-Qualified Stock Option. Shares granted at closing market value for MDST as of February 18, 2004. Harry H. Sackrider 2004-04-09 -----END PRIVACY-ENHANCED MESSAGE-----