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