0001415889-14-001086.txt : 20140403 0001415889-14-001086.hdr.sgml : 20140403 20140403180214 ACCESSION NUMBER: 0001415889-14-001086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140401 FILED AS OF DATE: 20140403 DATE AS OF CHANGE: 20140403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BANC OF CALIFORNIA, INC. CENTRAL INDEX KEY: 0001169770 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 043639825 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 18500 VON KARMAN CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-236-5211 MAIL ADDRESS: STREET 1: 18500 VON KARMAN CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: FIRST PACTRUST BANCORP INC DATE OF NAME CHANGE: 20020322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sugarman Steven CENTRAL INDEX KEY: 0001504590 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35522 FILM NUMBER: 14743576 MAIL ADDRESS: STREET 1: C/O FIRST PACTRUST BANCORP INC STREET 2: 610 BAY BOULEVARD CITY: CHULA VISTA STATE: CA ZIP: 91910 4 1 form4-04032014_030405.xml X0306 4 2014-04-01 0001169770 BANC OF CALIFORNIA, INC. BANC 0001504590 Sugarman Steven C/O BANC OF CALIFORNIA, INC. 18500 VON KARMAN AVE, SUITE 1100 IRVINE CA 92612 true true false false CEO Common Stock 2014-04-01 4 A 0 61125 12.27 A 75263.5368 D Common Stock 33806 I By Steven and Ainslie Sugarman Living Trust Common Stock 40 I By Cole Sugarman Roth IRA Common Stock 7500 I By Charles Schwab & Co Inc., Cust Sugarman Enterprises, Inc. 401K FBO Ainslie Sugarman Common Stock 400 I By Hailey Sugarman Roth IRA Common Stock 1475 I By Sierra Sugarman Roth IRA Common Stock 2000 I By Steven Sugarman Roth IRA Common Stock 4282 I By Ainslie Sugarman Roth IRA Stock Option (Right to Purchase) 15.81 2012-06-27 2021-06-27 Common Stock 16165 16165 D Warrant to Purchase Class B Non-Voting Common Stock 11 Class B Non-Voting Common Stock 960000 960000 I By Steven and Ainslie Sugarman Living Trust Stock Appreciation Right 12.65 2022-08-22 Common Stock 70877 70877 D Stock Appreciation Right 13 2022-08-22 Common Stock 150993 150993 D Stock Appreciation Right 13.49 2022-08-22 Common Stock 104091 104091 D Stock Appreciation Right 12.12 2022-08-22 Common Stock 500000 500000 D Represents grant of restricted stock. Shares will vest on the one-year anniversary of the grant date. Warrants vested in accordance with the following schedule: 50,000 shares vested on October 11, 2011 and the remainder vested in seven equal quarterly installments, beginning January 1, 2012. Warrants expire five years from the date vested. Two-thirds of the rights are currently vested, and the remaining one-third is scheduled to vest on August 21, 2014. One-third of the rights vested on the grant date, one-third vested on August 21, 2013 and the final one-third will vest on August 21, 2014. One-third of the rights vested on the grant date, one-third vested on August 21, 2013, and the remaining one-third will vest on August 21, 2014. /s/ Richard Herrin, Attorney-in-Fact 2014-04-03