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