0001620863-21-000055.txt : 20211103 0001620863-21-000055.hdr.sgml : 20211103 20211103144742 ACCESSION NUMBER: 0001620863-21-000055 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211101 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 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: 211374931 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 2021-11-01 0 0000356171 TRICO BANCSHARES / TCBK 0001198468 SMITH RICHARD P 63 CONSTITUTION DRIVE CHICO CA 95973 1 1 0 0 CEO & President Common Stock 2021-11-01 4 M 0 40000 15.34 A 251783 D Common Stock 2021-11-01 4 F 0 28185 45.51 D 223598 D Common Stock 2021-11-01 4 J 0 0 0 A 36282.71 I By ESOP Common Stock 2021-11-01 4 J 0 0 0 A 242.36 I By Spouse Common Stock 2021-11-01 4 J 0 0 0 A 1080635 I By ESOP Trustee Option Common Stock 15.34 2021-11-01 4 M 0 40000 15.34 D 2017-05-22 2022-05-22 Common Stock 40000 44000 D Reflects shares withheld for a "net exercise" of outstanding stock options and to pay taxes. No transactions occurred among these shares. Intended only to reflect shares beneficially owned in reporting persons ESOP account as of 12/31/2020 No transactions occurred among these shares. Intended only to reflect shares beneficially owned. The 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 2021-11-03