-----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, QsM6J37Aex/0ZIz+/U3hq/ji7jDnmmKSy56e6c76oJWPmjwOUPQ5viX8HzUKgZIb CqYbsHrT65obc0rOk2tFMw== 0001179110-04-007966.txt : 20040413 0001179110-04-007966.hdr.sgml : 20040413 20040413185702 ACCESSION NUMBER: 0001179110-04-007966 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20040413 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOKEY JAMES W CENTRAL INDEX KEY: 0001201185 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23925 FILM NUMBER: 04731452 BUSINESS ADDRESS: STREET 1: P O BOX 580 CITY: ARROVO GRANDE STATE: CA ZIP: 93421-0580 BUSINESS PHONE: 8054736829 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 4 1 edgar.xml FORM 4 - X0201 4 2000-06-30 0 0001027324 MID-STATE BANCSHARES MDST 0001201185 LOKEY JAMES W 1026 EAST GRAND AVENUE ARROYO GRANDE CA 93420 1 1 0 0 President/CEO Common Stock 2004-01-31 4 J 0 4836 22.13 A 28562 D Common Stock 2000-12-31 4 P 0 1500 17.75 A 30062 D Common Stock 2004-01-31 4 J 0 233 23.03 A 30295 D Common Stock 2000-06-30 4 J 0 3000 25.44 A 33295 I Trustee of the John R. Lokey Trust Common Stock 2000-12-31 4 P 0 1500 23.03 A 34795 I By Spouse Common Stock 14.00 2004-02-09 4 J 0 30000 14.00 A 2001-02-09 2010-02-09 Common Stock 150000 112925 I By Company Common Stock 14.50 2004-03-21 4 J 0 12414 14.50 A 2002-03-21 2011-03-21 Common Stock 62069 37241 I By Company Common Stock 17.40 2004-03-13 4 J 0 10588 17.40 A 2003-03-13 2012-03-13 Common Stock 52941 21176 I By Company Common Stock 17.10 2004-02-19 4 J 0 12590 17.10 A 2004-02-19 2013-02-19 Common Stock 62950 12590 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 46417 0 I By Company Shares held in street name for the J & C Lokey Living Trust. Additional shares acquired through reinvestment of dividends from 06/01/2003 to 01/31/2004. Average price paid per share. Street name account opened in December 2000 for James W. Lokey SEP-IRA. Shares held in street name for James W. Lokey SEP-IRA. Additional shares acquired through reinvestment of dividends from 12/31/2000 - 01/31/2004. Shares held in street name for James W. Lokey, Trustee of the John Lokey Trust. Upon the death of his father in June of 2000, Mr. Lokey was appointed Trustee of the John R. Lokey Trust dated December 28, 1989 held in street name. Shares held in street name for Christine L. Lokey SEP-IRA. 150,000 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 35,710 shares were issued and treated as an Incentive Stock Option, and the remaining 114,290 shares were issued and treated as a Non-Qualified Option. Shares granted at closing market value for MDST as of February 9, 2000. 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. Mr. Lokey exercised 7,075 shares of the incentive grant as reported on Form 4 in June and November of 2003. Additional 7,142 shares vested under the Incentive grant and 22,858 shares vested under the Non-Qualified grant. A total of 30,000 additional shares now vested and available for exercise. A total of 112,925 shares now available for exercise under this grant. Shares vested and now available for exercise by Mr. Lokey under these two grants. Shares granted to Mr. Lokey by the Company that have not yet been exercised. 62,950 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 6,760 shares were issued and treated as an Incentive Stock Option, and the remaining 56,190 shares were issued and treated as a Non-Qualified Option. Shares granted at closing market value for MDST as of February 19, 2003. 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 326 shares vested under the Incentive grant and 12,264 shares vested under the Non-Qualified grant. A total of 12,590 shares now available for exercise under this grant. 46,417 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 4,058 shares were issued and treated as an Incentive Stock Option, and the remaining 42,359 shares were issued and treated as a Non-Qualified Option. Shares granted at closing market value for MDST as of February 18, 2004. 62,069 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 6,896 shares were issued and treated as an Incentive Stock Option, and the remaining 55,173 shares were issued and treated as a Non-Qualified Option. Shares granted at closing market value for MDST as of March 21, 2001. Additional 12,414 shares vested under the the Non-Qualified grant. A total of 37,241 shares now available for exercise under this grant. 52,941 shares granted as an Incentive Stock Option under the 1996 Stock Option Plan. Due to the $100K limitation, 5,747 shares were issued and treated as an Incentive Stock Option, and the remaining 47,194 shares were issued and treated as a Non-Qualified Option. Shares granted at closing market value for MDST as of March 13, 2002. Additional 10,588 shares vested under the Incentive grant. A total of 21,176 shares are now availablef or exercise under this grant. Shares approved by the Board of Directors as an Incentive Stock Option grant. James W. Lokey 2004-04-07 -----END PRIVACY-ENHANCED MESSAGE-----