0000902664-14-002590.txt : 20140519
0000902664-14-002590.hdr.sgml : 20140519
20140519111226
ACCESSION NUMBER: 0000902664-14-002590
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140515
FILED AS OF DATE: 20140519
DATE AS OF CHANGE: 20140519
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PACIFIC MERCANTILE BANCORP
CENTRAL INDEX KEY: 0001109546
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 330898238
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 949 SOUTH COAST DRIVE
STREET 2: THIRD FLOOR
CITY: COSTA MESA
STATE: CA
ZIP: 92626
BUSINESS PHONE: 714-438-2500
MAIL ADDRESS:
STREET 1: 949 SOUTH COAST DRIVE
STREET 2: THIRD FLOOR
CITY: COSTA MESA
STATE: CA
ZIP: 92626
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CLINTON GROUP INC
CENTRAL INDEX KEY: 0001134119
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 14853608
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVE.
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128250400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVE.
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
p14-1288form4.xml
PACIFIC MERCANTILE BANCORP
X0306
4
2014-05-15
0
0001109546
PACIFIC MERCANTILE BANCORP
PMBC
0001134119
CLINTON GROUP INC
601 LEXINGTON AVE.
51ST FLOOR
NEW YORK
NY
10022
1
0
0
0
Common Stock
2014-05-15
4
S
0
119480
6.40
D
1409774
I
See footnote
SBAV LP ("SBAV") directly owns 1,409,774 shares of common stock into which shares of Series B-2 Convertible 8.4% Noncumulative Preferred Stock are convertible. SBAV also directly owns (i) 15,821 shares of Series C Convertible 8.4% Noncumulative Preferred Stock which are only convertible into shares of common stock upon transfers to certain eligible transferees (and not convertible by SBAV) and (ii) warrants for the purchase of 352,444 shares of common stock which are only exercisable by SBAV upon certain conditions precedent being met. Clinton Group, Inc. ("Clinton") is deemed to be the indirect beneficial owner of the securities reported herein by reason of its position as investment manager of SBAV. Clinton disclaims beneficial ownership of any and all such securities in excess of their actual pecuniary interest.
Mr. Daniel Strauss, an employee of Clinton, serves as a member of the board of directors of the Issuer. Clinton may therefore be deemed to be a director by deputization
Clinton Group, Inc., by /s/ George Hall, President
2014-05-19