0000902664-15-004441.txt : 20151203 0000902664-15-004441.hdr.sgml : 20151203 20151203193040 ACCESSION NUMBER: 0000902664-15-004441 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151130 FILED AS OF DATE: 20151203 DATE AS OF CHANGE: 20151203 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 Special Opportunities Master Fund Ltd. CENTRAL INDEX KEY: 0001621471 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 151268549 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 601 LEXINGTON AVENUE, 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 601 LEXINGTON AVENUE, 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Magnolia Master Fund, Ltd. CENTRAL INDEX KEY: 0001567109 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 151268550 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC., 601 LEXINGTON AV STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC., 601 LEXINGTON AV STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 3 1 p15-2291form3.xml PACIFIC MERCANTILE BANCORP X0206 3 2015-11-30 0 0001109546 PACIFIC MERCANTILE BANCORP PMBC 0001567109 Clinton Magnolia Master Fund, Ltd. C/O CLINTON GROUP INC., 510 MADISON AVE. 9TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001621471 Clinton Special Opportunities Master Fund Ltd. C/O CLINTON GROUP INC., 510 MADISON AVE. 9TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. Common Stock, par value $0.01 per share 453457 D Common Stock, par value $0.01 per share 885925 D By virtue of serving as the investment manager of Clinton Special Opportunities Master Fund Ltd. and Clinton Magnolia Master Fund Ltd. ( together, the "Funds"), Clinton Group, Inc., a Delaware corporation ("Clinton") has voting power and investment discretion with respect to the securities reported herein which are held by the Funds. Mr. George Hall serves as the Chief Executive Officer of Clinton. Mr. George E. Hall is deemed to be the indirect beneficial owner of such securities by virtue of his direct and indirect control of Clinton. Clinton and Mr. George Hall have separately reported their beneficial ownership of shares of the Issuer to the extent required pursuant to Section 16 of the Securities Exchange Act of 1934. The Reporting Persons disclaim beneficial ownership of such securities, and this report shall not be deemed an admission that any Reporting Person is the beneficial owners of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such Reporting Person's pecuniary interest therein. Clinton Special Opportunities Master Fund Ltd. directly holds these securities. Clinton Magnolia Master Fund Ltd. directly holds these securities. Mr. Daniel Strauss, an employee of Clinton, serves as a member of the board of directors of the Issuer. The Reporting Persons may therefore be deemed to be a director by deputization. Clinton Special Opportunities Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2015-12-03 Clinton Magnolia Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2015-12-03