0001493152-23-032834.txt : 20230915 0001493152-23-032834.hdr.sgml : 20230915 20230915191709 ACCESSION NUMBER: 0001493152-23-032834 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230510 FILED AS OF DATE: 20230915 DATE AS OF CHANGE: 20230915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Volk David J. CENTRAL INDEX KEY: 0001733127 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-41684 FILM NUMBER: 231259881 MAIL ADDRESS: STREET 1: 4450 EXCELSIOR BLVD. STREET 2: SUITE 100 CITY: ST. LOUIS PARK STATE: MN ZIP: 55416 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Southern California Bancorp \ CA CENTRAL INDEX KEY: 0001795815 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 843288397 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12265 EL CAMINO REAL, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858-847-4787 MAIL ADDRESS: STREET 1: 12265 EL CAMINO REAL, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92130 3/A 1 ownership.xml X0206 3/A 2023-05-10 2023-05-10 0 0001795815 Southern California Bancorp \ CA BCAL 0001733127 Volk David J. C/O SOUTHERN CALIFORNIA BANCORP 355 S. GRAND AVE STE 1200 LOS ANGELES CA 90071 1 0 0 0 Common Stock 1652 D Common Stock 2346349 I By Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP Stock Options 9.67 2027-03-15 Common Stock 10000 D Stock Options 12.96 2029-02-20 Common Stock 7500 D This amendment corrects the number of shares beneficially owned directly by the Reporting Person. Such shares include restricted stock units ("RSUs") granted to the Reporting Person on January 18, 2023, of which, as of the filing date of the original Form 3 (May 10, 2023), 1,452 shares remained to be issued upon vesting of the RSUs in three installments on July 3, 2023, October 3, 2023 and January 3, 2024. Includes 5,630 shares held by Castle Creek Advisors IV LLC and 2,340,719 shares held by Castle Creek Capital Partners VI LP of common stock, respectively. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Castle Creek Advisors IV LLC and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein. These options are fully vested. Includes stock options that were granted to the Reporting Person on February 20, 2019, of which 1,500 shares remain to be vested, and will vest on February 20, 2024. Manisha Merchant, by POA for David Volk 2023-09-15