0001415889-14-000738.txt : 20140306
0001415889-14-000738.hdr.sgml : 20140306
20140306123018
ACCESSION NUMBER: 0001415889-14-000738
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140304
FILED AS OF DATE: 20140306
DATE AS OF CHANGE: 20140306
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BANC OF CALIFORNIA, INC.
CENTRAL INDEX KEY: 0001169770
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 043639825
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 18500 VON KARMAN
CITY: IRVINE
STATE: CA
ZIP: 92612
BUSINESS PHONE: 949-236-5211
MAIL ADDRESS:
STREET 1: 18500 VON KARMAN
CITY: IRVINE
STATE: CA
ZIP: 92612
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST PACTRUST BANCORP INC
DATE OF NAME CHANGE: 20020322
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sugarman Steven
CENTRAL INDEX KEY: 0001504590
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35522
FILM NUMBER: 14672138
MAIL ADDRESS:
STREET 1: C/O FIRST PACTRUST BANCORP INC
STREET 2: 610 BAY BOULEVARD
CITY: CHULA VISTA
STATE: CA
ZIP: 91910
4
1
form4-03062014_120310.xml
X0306
4
2014-03-04
0001169770
BANC OF CALIFORNIA, INC.
BANC
0001504590
Sugarman Steven
C/O BANC OF CALIFORNIA, INC.
18500 VON KARMAN AVE, SUITE 1100
IRVINE
CA
92612
true
true
false
false
CEO
Common Stock
2014-03-04
4
F
0
998
12.73
D
14138.5368
D
Common Stock
33806
I
By Steven and Ainslie Sugarman Living Trust
Common Stock
40
I
By Cole Sugarman Roth IRA
Common Stock
7500
I
By Charles Schwab & Co Inc., Cust Sugarman Enterprises, Inc. 401K FBO Ainslie Sugarman
Common Stock
400
I
By Hailey Sugarman Roth IRA
Common Stock
1475
I
By Sierra Sugarman Roth IRA
Common Stock
2000
I
By Steven Sugarman Roth IRA
Common Stock
4282
I
By Ainslie Sugarman Roth IRA
Stock Option (Right to Purchase)
15.81
2012-06-27
2021-06-27
Common Stock
16165
16165
D
Warrant to Purchase Class B Non-Voting Common Stock
11
Class B Non-Voting Common Stock
960000
960000
I
By Steven and Ainslie Sugarman Living Trust
Stock Appreciation Right
12.12
2022-08-21
Common Stock
500000
500000
D
Shares disposed to satisfy the Reporting Person's tax liability incurred by the vesting of a previously granted award.
Warrants vested in accordance with the following schedule: 50,000 shares vested on October 11, 2011 and the remainder vested in seven equal quarterly installments, beginning January 1, 2012.
Warrants expire five years from the date vested.
Two-thirds of the rights are currently vested, and the remaining one-third is scheduled to vest on August 21, 2014.
/s/ Richard Herrin, Attorney-in-Fact
2014-03-06