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