0000927089-12-000014.txt : 20120214 0000927089-12-000014.hdr.sgml : 20120214 20120214101642 ACCESSION NUMBER: 0000927089-12-000014 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST PACTRUST BANCORP INC CENTRAL INDEX KEY: 0001169770 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 043639825 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78540 FILM NUMBER: 12603518 BUSINESS ADDRESS: STREET 1: 610 BAY BOULEVARD CITY: CHULA VISTA STATE: CA ZIP: 91910 BUSINESS PHONE: 6196911519 MAIL ADDRESS: STREET 1: 610 BAY BOULEVARD CITY: CHULA VISTA STATE: CA ZIP: 91910 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST PACTRUST BANCORP INC CENTRAL INDEX KEY: 0001169770 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 043639825 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 610 BAY BOULEVARD CITY: CHULA VISTA STATE: CA ZIP: 91910 BUSINESS PHONE: 6196911519 MAIL ADDRESS: STREET 1: 610 BAY BOULEVARD CITY: CHULA VISTA STATE: CA ZIP: 91910 SC 13G/A 1 fpt-13g0212.htm fpt-13g0212.htm
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
 
 
 
First PacTrust Bancorp, Inc. 
(Name of Issuer)
 
Common Stock, Par Value $0.01 per share
(Title of Class of Securities)
 
 
33589V 10 1 
(CUSIP Number)
 
 
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
    [X]   Rule 13d-1(b)
    [   ]   Rule 13d-1(c)
    [   ]   Rule 13d-1(d)
 
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which could alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
Page 1 of 5

 
 
 
 

 
1)
NAME OF REPORTING PERSON
 
First PacTrust Bancorp, Inc. 401(k) Employee Stock Ownership Plan
 
2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
        a)     [   ]
        b)     [   ]
 
3)
SEC USE ONLY
 
4)
CITIZENSHIP OR PLACE OF ORGANIZATION
 
        Not applicable
 
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
    
5)
SOLE VOTING POWER
  0
 
6)
SHARED VOTING POWER
  435,733.97
 
7)
SOLE DISPOSITIVE POWER
  0
 
8)
SHARED DISPOSITIVE POWER
  435,733.97
 
 
9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
  435,733.97
 
10)
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES        [  ]
 
11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
  4.1%
 
12
TYPE OF REPORTING PERSON
 
          EP
 
 
Page 2 of 5
 

 
 
 
 
 

 
NAME OF ISSUER:
First PacTrust Bancorp, Inc. (the "Corporation")
 
ITEM 1(b)
ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
610 Bay Boulevard, Chula Vista, California 91910
 
ITEM 2(a)
NAME OF PERSON FILING:
 
First PacTrust Bancorp, Inc. 401(k) Employee Stock Ownership Plan (the "KSOP").
 
ITEM 2(b)
ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
 
The business address of the KSOP is:
610 Bay Boulevard, Chula Vista, California 91910
 
ITEM 2(c)
CITIZENSHIP:
 
Not applicable.
 
ITEM 2(d)
TITLE OF CLASS OF SECURITIES
Common stock, par value $.01 per share (the "Common Stock")
 
ITEM 2(e)
CUSIP NUMBER:  33589V 10 1
 
ITEM 3
IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b) OR 240.13d-2(b) or (c), CHECK WHETHER THE PERSON FILING IS:
 
 
(a)
[    ]
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
 
(b)
[    ]
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
 
(c)
[    ]
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
 
(d)
[    ]
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
 
(e)
[    ]
An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
 
(f)
[X ]
An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
 
(g)
[    ]
A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
 
(h)
[    ]
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
(i)
[    ]
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
  (j)  [     ]  A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J); and 
 
(k)
[    ]
Group, in accordance with Section 240.13d-1(b)(1)(ii)(K).
 
Page 3 of 5

 
 
 
 

 
ITEM 4
OWNERSHIP:
 
The KSOP holds an aggregate of 435,733.97 shares of Common Stock (4.1% of the outstanding shares of the Corporation's voting common stock).  The KSOP has shared voting and dispositive powers with respect to the shares held by the KSOP.
 
Pursuant to the KSOP, participants in the KSOP are entitled to instruct the KSOP trustee as to the voting of the shares allocated to their KSOP accounts.  On each issue with respect to which shareholders are entitled to vote, the trustee is required to vote the shares held by the KSOP which have not been allocated to participant accounts in the manner directed under the KSOP.
 
ITEM 5
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X].
 
ITEM 6.
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
 
Not applicable.
 
 
ITEM 7.
IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
 
Not applicable.
 
ITEM 8.
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
 
Not applicable.
 
ITEM 9.
NOTICE OF DISSOLUTION OF GROUP:
 
Not applicable.
 
 
 
Page 4 of 5

 
 
 
 

 
ITEM 10. 
CERTIFICATIONS
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
 
FIRST PACTRUST BANCORP, INC. 401(k)
EMPLOYEE STOCK OWNERSHIP PLAN
 
   
By:  Benefit Equity, Inc., as Administrator
 
Date:  February 14, 2012
  
By:
/s/  Kory Ngo                       
    Name:  Kory Ngo 
    Title:  Vice President
 
 
 
 
 
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