0000902664-15-004514.txt : 20151214 0000902664-15-004514.hdr.sgml : 20151214 20151214202023 ACCESSION NUMBER: 0000902664-15-004514 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151210 FILED AS OF DATE: 20151214 DATE AS OF CHANGE: 20151214 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: Hall George E. CENTRAL INDEX KEY: 0001566939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 151287129 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC, 510 MADISON AVE. STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Special Opportunities Master Fund Ltd. CENTRAL INDEX KEY: 0001621471 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 151287130 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 510 MADISON AVE, 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 510 MADISON AVE, 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Magnolia Master Fund, Ltd. CENTRAL INDEX KEY: 0001567109 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30777 FILM NUMBER: 151287131 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC., 510 MADISON AVE. STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC., 510 MADISON AVE. STREET 2: 8TH 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: 151287132 BUSINESS ADDRESS: STREET 1: 510 MADISON AVE STREET 2: 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128250400 MAIL ADDRESS: STREET 1: 510 MADISON AVE STREET 2: 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p15-2330form4.xml PACIFIC MERCANTILE BANCORP X0306 4 2015-12-10 0 0001109546 PACIFIC MERCANTILE BANCORP PMBC 0001134119 CLINTON GROUP INC 510 MADISON AVE 8TH FL NEW YORK NY 10022 0 0 0 1 See remarks. 0001567109 Clinton Magnolia Master Fund, Ltd. C/O CLINTON GROUP INC., 510 MADISON AVE. 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001621471 Clinton Special Opportunities Master Fund Ltd. C/O CLINTON GROUP INC. 510 MADISON AVE, 8TH FL NEW YORK NY 10022 0 0 0 1 See remarks. 0001566939 Hall George E. C/O CLINTON GROUP INC, 510 MADISON AVE. 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. Common Stock 2015-12-10 4 S 0 21200 7.05 D 1318182 I See footnotes Common Stock 2015-12-11 4 S 0 118727 7.0255 D 1199455 I See footnotes Common Stock 2015-12-14 4 S 0 99595 6.9831 D 1099860 I See footnotes Clinton Special Opportunities Master Fund Ltd. and Clinton Magnolia Master Fund Ltd. directly hold these securities. By virtue of serving as the investment manager of Clinton Special Opportunities Master Fund Ltd. and Clinton Magnolia Master Fund Ltd. (together, the "Funds"), Clinton Group, Inc., a Delaware corporation ("Clinton") has voting power and investment discretion with respect to the securities reported herein which are held by the Funds. Mr. George Hall serves as the Chief Executive Officer of Clinton. 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 $7.01 to $7.06, 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 herein. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.05, 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 herein. 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 2015-12-14 /s/ George Hall 2015-12-14 Clinton Special Opportunities Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2015-12-14 Clinton Magnolia Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2015-12-14