0000902664-15-003658.txt : 20150916
0000902664-15-003658.hdr.sgml : 20150916
20150916163419
ACCESSION NUMBER: 0000902664-15-003658
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150909
FILED AS OF DATE: 20150916
DATE AS OF CHANGE: 20150916
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PACIFIC MERCANTILE BANCORP
CENTRAL INDEX KEY: 0001109546
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 330898238
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 949 SOUTH COAST DRIVE
STREET 2: THIRD FLOOR
CITY: COSTA MESA
STATE: CA
ZIP: 92626
BUSINESS PHONE: 714-438-2500
MAIL ADDRESS:
STREET 1: 949 SOUTH COAST DRIVE
STREET 2: THIRD FLOOR
CITY: COSTA MESA
STATE: CA
ZIP: 92626
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SBAV GP LLC
CENTRAL INDEX KEY: 0001627209
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110597
BUSINESS ADDRESS:
STREET 1: C/O CLINTON GROUP INC.
STREET 2: 601 LEXINGTON AVE., 51ST FL.
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-825-0400
MAIL ADDRESS:
STREET 1: C/O CLINTON GROUP INC.
STREET 2: 601 LEXINGTON AVE., 51ST FL.
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SBAV LP
CENTRAL INDEX KEY: 0001519604
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110598
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-825-0400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hall George E.
CENTRAL INDEX KEY: 0001566939
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110599
MAIL ADDRESS:
STREET 1: C/O CLINTON GROUP INC, 601 LEXINGTON AVE
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Clinton Relational Opportunity LLC
CENTRAL INDEX KEY: 0001577073
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110600
BUSINESS ADDRESS:
STREET 1: C/O CLINTON GROUP INC.
STREET 2: 601 LEXINGTON AVENUE, 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-825-0400
MAIL ADDRESS:
STREET 1: C/O CLINTON GROUP INC.
STREET 2: 601 LEXINGTON AVENUE, 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CLINTON GROUP INC
CENTRAL INDEX KEY: 0001134119
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110602
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVE.
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128250400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVE.
STREET 2: 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Clinton Relational Opportunity Master Fund, L.P.
CENTRAL INDEX KEY: 0001567108
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30777
FILM NUMBER: 151110601
BUSINESS ADDRESS:
STREET 1: C/O CLINTON GROUP, INC.
STREET 2: 601 LEXINGTON AVE., 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-825-0400
MAIL ADDRESS:
STREET 1: C/O CLINTON GROUP, INC.
STREET 2: 601 LEXINGTON AVE., 51ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
p15-1880form4.xml
PACIFIC MERCANTILE BANCORP
X0306
4
2015-09-09
0
0001109546
PACIFIC MERCANTILE BANCORP
PMBC
0001134119
CLINTON GROUP INC
601 LEXINGTON AVE.
51ST FLOOR
NEW YORK
NY
10022
0
0
0
1
See remarks.
0001519604
SBAV LP
601 LEXINGTON AVENUE
51ST FLOOR
NEW YORK
NY
10022
0
0
0
1
See remarks.
0001627209
SBAV GP LLC
C/O CLINTON GROUP INC.
601 LEXINGTON AVE., 51ST FL.
NEW YORK
NY
10022
0
0
0
1
See remarks.
0001566939
Hall George E.
C/O CLINTON GROUP INC, 601 LEXINGTON AVE
51ST FLOOR
NEW YORK
NY
10021
0
0
0
1
See remarks.
0001567108
Clinton Relational Opportunity Master Fund, L.P.
C/O CLINTON GROUP, INC.
601 LEXINGTON AVE, 51ST FLOOR
NEW YORK
NY
10022
0
0
0
1
See remarks.
0001577073
Clinton Relational Opportunity LLC
C/O CLINTON GROUP INC.
601 LEXINGTON AVENUE, 51ST FLOOR
NEW YORK
NY
10022
0
0
0
1
See remarks.
Common Stock
2015-09-09
4
S
0
1100
6.90
D
151370
I
See footnotes
Common Stock
2015-09-10
4
S
0
63792
6.90
D
87578
I
See footnotes
Common Stock
2015-09-11
4
S
0
24116
6.70
D
63462
I
See footnotes
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $6.903, inclusive. The Reporting Person undertakes to provide to Pacific Mercantile Bancorp, any security holder of Pacific Mercantile Bancorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (5) and (6) to this Form 4.
By virtue of (i) its ownership of Clinton Relational Opportunity, LLC, a Delaware limited liability company ("CRO"), which serves as the investment manager of Clinton Relational Opportunity Master Fund, L.P., a Cayman Islands exempted limited partnership ("CREL"), (ii) serving as the investment manager of SBAV LP, a Delaware limited partnership ("SBAV") and (iii) a sub-advisory agreement governing a mutual fund portfolio ("WKCAX"), Clinton Group, Inc., a Delaware corporation ("Clinton") has voting power and investment discretion with respect to the securities reported herein which are held by CREL, SBAV and WKCAX. By virtue of serving as the general partner of SBAV, SBAV GP (as defined below) has voting power and investment discretion with respect to the securities reported herein which are held by SBAV. By virtue of serving as the investment manager of CREL, CRO has voting power and investment discretion with respect to the securities reported herein which are held by CREL.
Mr. George Hall serves as the Chief Executive Officer of Clinton and as the managing member of SBAV GP, LLC, a Delaware limited liability company ("SBAV GP"). Mr. George E. Hall is deemed to be the indirect beneficial owner of such securities by virtue of his direct and indirect control of Clinton.
The Reporting Persons disclaim beneficial ownership of such securities, and this report shall not be deemed an admission that any Reporting Person is the beneficial owners of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such Reporting Person's pecuniary interest therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.8148 to $6.90, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.701 to $6.7046, inclusive.
Mr. Daniel Strauss, an employee of Clinton, serves as a member of the board of directors of the Issuer. The Reporting Persons may therefore be deemed to be a director by deputization.
Clinton Group, Inc., By: /s/ George Hall, its President
2015-09-16
/s/ George Hall
2015-09-16
/s/ SBAV LP, By: SBAV GP LLC, its General Partner, By: George Hall, its Managing Member
2015-09-16
SBAV GP LLC, By: George Hall, its Managing Member
2015-09-16
Clinton Relational Opportunity Master Fund, L.P., By: Clinton Relational Opportunity, LLC, its Investment Manager, By :/s/ John Hall, its Authorized Signatory
2015-09-16
Clinton Relational Opportunity, LLC, By: /s/ John Hall, its Authorized Signatory
2015-09-16