PacWest Bancorp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-03-09: Reporting owner Thompson Kevin L; Form 4; Security Put Option (obligation to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2023-03-09: Reporting owner Thompson Kevin L; Form 4; Security Put Option (obligation to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2023-03-09: Reporting owner Thompson Kevin L; Form 4; Security Sold Put Option (obligation to buy); Transaction S Open market or private sale of non-derivative or derivative security.
- 2007-01-25: Reporting owner EGGEMEYER JOHN M III; Form 4/A; Security Call Option (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-03-09 | Thompson Kevin L Officer (EVP, CHIEF FINANCIAL OFFICER) | 4 | Put Option (obligation to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4 121 owned after | $22.50 exercise price | 2023-03-29 | |
| 2023-03-09 | Thompson Kevin L Officer (EVP, CHIEF FINANCIAL OFFICER) | 4 | Put Option (obligation to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −121 0 owned after | $22.50 exercise price | 2023-03-29 | |
| 2023-03-09 | Thompson Kevin L Officer (EVP, CHIEF FINANCIAL OFFICER) | 4 | Sold Put Option (obligation to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −125 125 owned after | $1.23 | 2023-03-13 | |
| 2007-01-25 | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4/A | Call Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −39,500 0 owned after | $9.50 exercise price | 2007-01-25 | |
| 2007-01-23 | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Call Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +39,500 0 owned after | $9.50 exercise price | 2007-01-24 | |
| 2006-12-20 holding as of filing | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Options Derivative · Direct | Holding | 39,500 owned after | $9.50 exercise price | 2006-12-20 | |
| 2006-11-06 holding as of filing | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Options Derivative · Direct | Holding | 39,500 owned after | $9.50 exercise price | 2006-11-06 | |
| 2006-10-06 holding as of filing | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Options Derivative · Direct | Holding | 39,500 owned after | $9.50 exercise price | 2006-10-06 | |
| 2006-08-16 | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4/A | Call Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −50,000 39,500 owned after | $9.50 exercise price | 2006-09-18 | |
| 2006-08-16 | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Option Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +39,500 50,000 owned after | $9.50 | 2006-08-17 | |
| 2006-06-19 holding as of filing | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Options Derivative · Direct | Holding | 89,500 owned after | $9.50 exercise price | 2006-06-19 | |
| 2006-03-21 holding as of filing | EGGEMEYER JOHN M III Director, Officer (Chairman of the Board), 10% Owner | 4 | Options Derivative · Direct | Holding | 89,500 owned after | $9.50 exercise price | 2006-03-21 | |
| 2006-02-24 | WAGNER MATTHEW P Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $17.48 exercise price | 2006-02-28 | |
| 2006-02-24 | WAGNER MATTHEW P Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 0 owned after | $26.81 exercise price | 2006-02-28 |