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