-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ra7H3Rf4jmgXD5cBoODzLr+1wCYkv0+D+7pmcY1krYI+od1yi00NwGkhDySoxEdk c4ypznlpbHzXDD6mY1/DoA== 0001250853-06-000171.txt : 20061227 0001250853-06-000171.hdr.sgml : 20061227 20061227133550 ACCESSION NUMBER: 0001250853-06-000171 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061122 FILED AS OF DATE: 20061227 DATE AS OF CHANGE: 20061227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MONTGOMERY SCOTT A CENTRAL INDEX KEY: 0001258734 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13015 FILM NUMBER: 061300189 BUSINESS ADDRESS: BUSINESS PHONE: 310 282 6793 MAIL ADDRESS: STREET 1: 1840 CENTURY PARK EAST CITY: LOS ANGELES STATE: CA ZIP: 90067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL MERCANTILE BANCORP CENTRAL INDEX KEY: 0000714801 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 953819685 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1840 CENTURY PARK EAST CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3102772265 MAIL ADDRESS: STREET 1: 1840 CENTURY PARK EAST CITY: LOS ANGELES STATE: CA ZIP: 90067 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0202 4/A 2006-11-22 2006-11-22 0 0000714801 NATIONAL MERCANTILE BANCORP MBLA 0001258734 MONTGOMERY SCOTT A 1880 CENTURY PARK EAST, #800 LOS ANGELES CA 90067 1 1 0 0 Pres. & Chief Exec. Officer Common Stock 2006-11-22 4 S 0 40875 15.645 D 55735 I see note Common Stock 2006-11-22 4 M 0 82692 5.276 A 138427 I see note Stock Option (right to buy) 5.276 2006-11-22 4 X 0 82692 0 D 1998-04-23 2007-10-03 Common Stock 82692 51443 D Stock Option (right to buy) 15.7 2005-10-28 4 A 0 25000 0 A 2006-04-30 2016-10-31 Common Stock 25000 31250 D These shares were sold in a private transaction to the principal shareholders of the Company. On April 14, 2006, Issuer granted a 5 for 4 split (the "Grant") resulting in an increase in Reporting Person's beneficial holdings of 19,322 shares. For several years, Reporting Person has held all shares of Issuer's stock in his family trust. Reporting Person has inidcated Indirect Ownership on this filing to properly report this form of ownership. Reporting Person's remaining option shares are indicated after applying the Grant. This is to amend and clarify reporting of a stock option grant reported on 11/02/2005 to correct the grant date, the conversion price and to indicate the remaining option shares after applying the Grant. /s/ Scott A. Montgomery 2006-12-27 -----END PRIVACY-ENHANCED MESSAGE-----