0001620863-20-000051.txt : 20200609 0001620863-20-000051.hdr.sgml : 20200609 20200609175120 ACCESSION NUMBER: 0001620863-20-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200605 FILED AS OF DATE: 20200609 DATE AS OF CHANGE: 20200609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH RICHARD P CENTRAL INDEX KEY: 0001198468 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-10661 FILM NUMBER: 20952954 MAIL ADDRESS: STREET 1: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRICO BANCSHARES / CENTRAL INDEX KEY: 0000356171 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 942792841 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TRICO BANCSHARES STREET 2: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 BUSINESS PHONE: 5308980300 MAIL ADDRESS: STREET 1: TRICO BANCSHARES STREET 2: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-06-05 0 0000356171 TRICO BANCSHARES / TCBK 0001198468 SMITH RICHARD P 63 CONSTITUTION DRIVE CHICO CA 95973 1 1 0 0 CEO & President Common Stock 2020-06-05 4 M 0 5840 A 237816 D Common Stock 2020-06-05 4 F 0 3074 32.56 D 234742 D Common Stock 2020-06-05 4 J 0 0 0 A 35297.24 I By ESOP Common Stock 2020-06-05 4 J 0 0 0 A 232.9 I By ESOP Performance Stock Unit 2020-06-05 4 M 0 5840 0 D Common Stock 5840 11238 D Performance Stock Unit 2020-06-05 4 A 0 13258 0 A Common Stock 13258 24496 D Restricted Stock Unit 2020-06-05 4 A 0 13258 0 A Common Stock 13258 24868 D Vesting of performance-based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number of shares based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 4,154 PSUs which was reported in the original Form 4 for this grant). PSUs vested at 140.6%. Reflects shares withheld to pay for taxes. No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned in reporting persons ESOP account as of December 31, 2019. No transaction occurred among these shares. Intended only to reflect number of shares beneficially owned. Performance-based restricted stock unit (PSU) grant that cliff vests after 3 years between 0% and 150% of the target number of shares (the number of shares listed in box 5) based on the Issuers total stockholder return relative to the KBW Regional Banking Index; subject to the forfeitures, accelerated vesting and other restrictions as set forth in the plan and award agreement. Restricted Stock Unit (RSU) award that vests 25% per year over four-years, beginning June 05, 2021. Per unit value on date of grant was $28.00 (based on the 30-day average closing price of Issuers common stock). Cash dividends on RSUs are reinvested in shares of common stock of the Issuer at fair market value on date of dividend payment. /s/ Richard Smith by Jason Cove, Attorney-In-Fact 2020-06-09