0001620863-21-000025.txt : 20210601 0001620863-21-000025.hdr.sgml : 20210601 20210601175621 ACCESSION NUMBER: 0001620863-21-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210527 FILED AS OF DATE: 20210601 DATE AS OF CHANGE: 20210601 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: 21986786 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 2021-05-27 0 0000356171 TRICO BANCSHARES / TCBK 0001198468 SMITH RICHARD P 63 CONSTITUTION DRIVE CHICO CA 95973 1 1 0 0 CEO & President Common Stock 2021-05-27 4 J 0 0 0 A 206593 D Common Stock 2021-05-27 4 J 0 0 0 A 36282.71 I By ESOP Common Stock 2021-05-27 4 J 0 0 0 A 239.6 I By Spouse Common Stock 2021-05-27 4 J 0 0 0 A 1199798 I By ESOP Trustee Restricted Stock Unit 2021-05-27 4 A 0 8424 0 A Common Stock 8424 29902 D Performance Stock Unit 2021-05-27 4 A 0 8424 0 A Common Stock 8424 32920 D No transactions occurred among these shares. Intended only to reflect number of shares beneficially owned. Restricted Stock Unit (RSU) award that vests 25% per year over four-years beginning May 27, 2021. Cash dividends on RSUs are reinvested in additional units at fair market value on the date of a dividend payment on Issuer common stock. Per share value of RSUs on date of grant was $46.52 (based on 30-day average closing price of Issuers common stock on May 21. 2021). 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. Reporting person is a trustee of the Issuers Employee Stock Ownership Plan. The reporting person has no security interest in, and disclaims beneficial ownership of the securities. /s/ Richard Smith by Jason Cove, Attorney-In-Fact 2021-06-01