0001493152-23-036481.txt : 20231006 0001493152-23-036481.hdr.sgml : 20231006 20231006143457 ACCESSION NUMBER: 0001493152-23-036481 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230625 FILED AS OF DATE: 20231006 DATE AS OF CHANGE: 20231006 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Volk David J. CENTRAL INDEX KEY: 0001733127 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41684 FILM NUMBER: 231313931 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 4 1 ownership.xml X0508 4 2023-06-25 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 0 Common Stock 2023-06-25 4 J 0 61 0 A 987 D Common Stock 2023-10-03 4 A 0 726 0 A 2346450 I see footnote 3 61 shares of Common Stock were distributed by Castle Creek Advisors IV LLC ("Advisors IV") to Mr. Volk, a managing principal of Castle Creek, on June 25, 2023. 2,178 restricted stock units ("RSUs"), each of which represents the right to receive one share of common stock of Southern California Bancorp ("Common Stock"), were issued to David Volk in his capacity as a member of the Board of Directors of Southern California Bancorp on January 18, 2023 and will become fully vested on January 03, 2024. 182 RSUs vested on October 3, 2023. David Volk assigned such vested shares and the remaining 544 unvested RSUs to Advisors IV. -Includes 5,187 shares of Common Stock and 544 RSUs held by Advisors IV (inclusive of the assignment noted in footnote 2) and 2,340,719 shares of Common Stock held by Castle Creek Capital Partners VI LP. Mr. Volk, a managing principal of Castle Creek, disclaims beneficial ownership of such shares held by Advisors IV and Castle Creek Capital Partners VI LP, except to the extent of his pecuniary interest therein. Manisha Merchant, by POA for David Volk 2023-10-06