0001415889-15-002299.txt : 20150706 0001415889-15-002299.hdr.sgml : 20150703 20150706192549 ACCESSION NUMBER: 0001415889-15-002299 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150701 FILED AS OF DATE: 20150706 DATE AS OF CHANGE: 20150706 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: Brownstein Chad T. CENTRAL INDEX KEY: 0001515976 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35522 FILM NUMBER: 15974857 MAIL ADDRESS: STREET 1: 555 SOUTH BARRINGTON AVENUE, #216 CITY: LOS ANGELES STATE: CA ZIP: 90049 4 1 form4-07062015_040741.xml X0306 4 2015-07-01 0001169770 BANC OF CALIFORNIA, INC. BANC 0001515976 Brownstein Chad T. C/O BANC OF CALIFORNIA, INC. 18500 VON KARMAN AVE, SUITE 1100 IRVINE CA 92612 true false false false Common Stock 2015-07-01 4 A 0 5091 0 A 29201.7546 D Common Stock 2015-07-01 4 A 0 3273 0 A 32474.7546 D Common Stock 2015-07-01 4 A 0 1818 0 A 34292.7546 D Stock Option 13.75 2015-07-01 4 A 0 2808 0 A 2025-07-01 Common Stock 2808 2808 D Stock Option 13.75 2015-07-01 4 A 0 2808 0 A 2025-07-01 Common Stock 2808 5616 D Stock Option 10.90 2024-07-01 Common Stock 1836 1836 D Represents shares of restricted stock, which shares will vest annually in substantially equal installments over a five-year period beginning on the one-year anniversary of the grant date. In accordance with the Restricted Stock Agreement, by and between the Reporting Person and the Issuer, dated July 1, 2015 (the "Restricted Stock Agreement"), in the event the Reporting Person is subject to a Qualified Termination of Service (as defined in the Restricted Stock Agreement, a form of which was filed as exhibit 10.14G to the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 2014), this award will automatically become fully vested. Shares issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors, pursuant to the Issuer's 2013 Omnibus Incentive Plan. Shares issued to the Reporting Person as consideration for his service on the Board of Directors of Banc of California, N.A., a wholly owned subsidiary of the Issuer, pursuant to the Issuer's 2013 Omnibus Incentive Plan. Shares issued to the Reporting Person as consideration for his service as the lead independent director of the Palisades Group, LLC, a wholly owned subsidiary of the Issuer, pursuant to the Issuer's 2013 Omnibus Incentive Plan. Options will vest annually in substantially equal installments over a five-year period beginning on the one-year anniversary of the grant date. In accordance with the Non-Qualified Stock Option Agreement, by and between the Reporting Person and the Issuer (the "Option Agreement"), in the event the Reporting Person is subject to a Qualified Termination of Service (as defined in the Option Agreement, a form of which was filed as exhibit 10.14F to the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 2014), this award will automatically become fully vested. Shares issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors, pursuant to the Issuer's 2013 Omnibus Incentive Plan. Shares issued to the Reporting Person as consideration for his service on the Board of Directors of Banc of California, N.A., a wholly owned subsidiary of the Issuer, pursuant to the Issuer's 2013 Omnibus Incentive Plan. /s/ Ronald J. Nicolas, Jr., Attorney-in-Fact 2015-07-06