0001437749-21-006814.txt : 20210322 0001437749-21-006814.hdr.sgml : 20210322 20210322200615 ACCESSION NUMBER: 0001437749-21-006814 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210322 DATE AS OF CHANGE: 20210322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCarty Richard A. CENTRAL INDEX KEY: 0001442248 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34142 FILM NUMBER: 21762705 MAIL ADDRESS: STREET 1: 125 NORTH THIRD AVENUE CITY: OAKDALE STATE: CA ZIP: 95361 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Oak Valley Bancorp CENTRAL INDEX KEY: 0001431567 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 262326676 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 125 N. THIRD AVE. CITY: OAKDALE STATE: CA ZIP: 95361 BUSINESS PHONE: 209-844-7500 MAIL ADDRESS: STREET 1: 125 N. THIRD AVE. CITY: OAKDALE STATE: CA ZIP: 95361 4 1 rdgdoc.xml FORM 4 X0306 4 2020-12-31 0001431567 Oak Valley Bancorp OVLY 0001442248 McCarty Richard A. 125 NORTH THIRD AVENUE OAKDALE CA 95361 1 SEVP Chief Operating Officer Common Stock 2021-02-28 4 A 0 2937 A 39208 D Common Stock 2020-12-31 4 I 0 1377 A 40585 D Common Stock 2021-02-28 4 F 0 169 D 40416 D Common Stock 2021-02-28 4 F 0 231 D 40185 D Common Stock 2021-02-28 4 F 0 190 D 39995 D Award of restricted stock to executive employee pursuant to Stock Incentive Plan. Each restricted stock share that is unvested is subject to certain restrictions on disposition as well as certain forfeiture rights, which will lapse upon vesting. The restricted stock will vest 20% annually on the following dates: 2/28/2022 2/28/2023 2/28/2024 2/28/2025 2/28/2026 Shares acquired through company 401k plan. Purchase transactions occur under 10b5-1 purchase plan with various dates and pricing. Adjustment to holdings for shares acquired through 401k profit sharing plan in 2020. Shares surrendered to satisfy tax liability on restricted stock issued 2/28/2018 vested 2/28/2021 Shares surrendered to satisfy tax liability on restricted stock issued 2/28/2019 vested 2/28/2021 Shares surrendered to satisfy tax liability on restricted stock issued 2/28/2020 vested 2/28/2021 /s/ Richard A. McCarty 2021-03-22