Form 4 for BCAL California BanCorp \ CA
Accepted 2023-10-06 00:00:00 ET · period of report 2023-06-25 · accession 0001493152-23-036481 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2023-10-06 | 2023-10-03 | BCAL | Volk David J. | Dir | A - Grant | $0.00 | +726 | 2.35M | +0.0% | $0 |
| 2023-10-06 | 2023-06-25 | BCAL | Volk David J. | Dir | J - Other | $0.00 | +61 | 987 | +7% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-10-03 | A | A | 726 | $0.00 | 2,346,450 | I | — | — | (F3) -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. |
| 2 | Common | Common Stock | 2023-06-25 | J | A | 61 | $0.00 | 987 | D see footnote 3 | — | — | (F2) 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. |