0001104659-18-056959.txt : 20180914 0001104659-18-056959.hdr.sgml : 20180914 20180914175255 ACCESSION NUMBER: 0001104659-18-056959 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180914 FILED AS OF DATE: 20180914 DATE AS OF CHANGE: 20180914 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carpenter Fund Manager GP, LLC CENTRAL INDEX KEY: 0001427461 STATE OF INCORPORATION: DE FISCAL YEAR END: 0607 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 181072021 BUSINESS ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 949-579-1448 MAIL ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carpenter Community BancFund-A, L.P. CENTRAL INDEX KEY: 0001427423 STATE OF INCORPORATION: DE FISCAL YEAR END: 1207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 181072022 BUSINESS ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 949-579-1448 MAIL ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 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 4 1 a4.xml 4 X0306 4 2018-09-14 1 0001109546 PACIFIC MERCANTILE BANCORP PMBC 0001427461 Carpenter Fund Manager GP, LLC 2 PARK PLAZA, SUITE 550 IRVINE CA 92614 0 0 0 1 Former 10% owner 0001427423 Carpenter Community BancFund-A, L.P. 2 PARK PLAZA, SUITE 550 IRVINE CA 92614 0 0 0 1 Former 10% owner Common Stock 2018-09-14 4 J 0 1467155 0.00 D 5950438 I See footnote Series A Non-Voting Preferred Stock 2018-09-14 4 J 0 1467155 0.00 A 1467155 I See footnote Series A Non-Voting Preferred Stock 2018-09-14 4 S 0 1467155 8.25 D 0 I See footnote Common Stock 2018-09-14 4 S 0 2169208 8.25 D 3781230 I See footnote Common Stock 2018-09-14 4 S 0 3781230 8.25 D 0 I See footnote Held directly by Carpenter Community BancFund, LP and Carpenter Community BancFund-A, LP (the "Carpenter Funds") and beneficially owned by Carpenter Fund Manager GP, LLC (the "General Partner") as general partner of the Carpenter Funds. The General Partner disclaims beneficial ownership of the securities, except to the extent that the General Partner has a pecuniary interest, if any, in such funds. The Issuer entered into an Exchange Agreement with the Carpenter Funds pursuant to which the Carpenter Funds exchanged an aggregate of 1,467,155 shares of the Common Stock, on a one-for-one basis, for 1,467,155 shares of Series A Non-Voting Preferred Stock. The Carpenter Funds sold 1,467,155 shares of Series A Non-Voting Preferred Stock and 2,169,208 shares of Common Stock to Patriot Financial Partners III, L.P. pursuant to a stock purchase agreement in a privately negotiated transaction. The Carpenter Funds sold an aggregate of 3,781,230 shares of Common Stock to accredited investors pursuant to separate stock purchase agreements in privately negotiated transactions. John D. Flemming, Authorized Signatory for each Reporting Person 2018-09-14