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