0001104659-18-034485.txt : 20180518
0001104659-18-034485.hdr.sgml : 20180518
20180518161721
ACCESSION NUMBER: 0001104659-18-034485
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180516
FILED AS OF DATE: 20180518
DATE AS OF CHANGE: 20180518
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: THOMAS J MIKESELL
CENTRAL INDEX KEY: 0001242722
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846852
MAIL ADDRESS:
STREET 1: 51 WEST 52ND ST 14TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pietrzak John
CENTRAL INDEX KEY: 0001481798
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846850
MAIL ADDRESS:
STREET 1: WEST COAST BANCORP
STREET 2: 5335 MEADOWS ROAD, SUITE 201
CITY: LAKE OSWEGO
STATE: OR
ZIP: 97035
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MERLO MARK G
CENTRAL INDEX KEY: 0001332829
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846851
MAIL ADDRESS:
STREET 1: 4500 MERCANTILE PLAZA DRIVE, SUITE 300
CITY: FORT WORTH
STATE: TX
ZIP: 76137
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EGGEMEYER JOHN M III
CENTRAL INDEX KEY: 0001197257
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846855
MAIL ADDRESS:
STREET 1: PO BOX 1329
CITY: RANCHO SANTA FE
STATE: CA
ZIP: 92067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Castle Creek Capital Partners VI, LP
CENTRAL INDEX KEY: 0001666749
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846853
BUSINESS ADDRESS:
STREET 1: 6051 EL TORDO
CITY: RANCHO SANTA FE
STATE: CA
ZIP: 92067
BUSINESS PHONE: (858)756-8300
MAIL ADDRESS:
STREET 1: 6051 EL TORDO
CITY: RANCHO SANTA FE
STATE: CA
ZIP: 92067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Castle Creek Capital VI LLC
CENTRAL INDEX KEY: 0001671438
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51018
FILM NUMBER: 18846854
BUSINESS ADDRESS:
STREET 1: 6051 EL TORDO
STREET 2: PO BOX 1329
CITY: RANCHO SANTA FE
STATE: CA
ZIP: 92067
BUSINESS PHONE: 858-756-8300
MAIL ADDRESS:
STREET 1: 6051 EL TORDO
STREET 2: PO BOX 1329
CITY: RANCHO SANTA FE
STATE: CA
ZIP: 92067
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Bancorp, Inc.
CENTRAL INDEX KEY: 0001295401
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 233016517
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 409 SILVERSIDE ROAD
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 302-385-5000
MAIL ADDRESS:
STREET 1: 409 SILVERSIDE ROAD
CITY: WILMINGTON
STATE: DE
ZIP: 19809
4
1
a4.xml
4
X0306
4
2018-05-16
0
0001295401
Bancorp, Inc.
TBBK
0001197257
EGGEMEYER JOHN M III
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
0001671438
Castle Creek Capital VI LLC
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
0001666749
Castle Creek Capital Partners VI, LP
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
0001242722
THOMAS J MIKESELL
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
0001332829
MERLO MARK G
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
0001481798
Pietrzak John
C/O CASTLE CREEK CAPITAL LLC
6051 EL TORDO, PO BOX 1329
RANCHO SANTA FE
CA
92067
1
0
0
0
See Remarks
Common Stock
2018-05-16
4
A
0
7500
A
7500
I
See Footnote
Common Stock
3026598
I
See Footnote
Common Stock
15000
I
See Footnote
These restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were issued to Castle Creek Advisors IV LLC ("Advisors IV"), on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., on May 16, 2018 and will become fully vested on May 16, 2019.
These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital VI LLC, the sole general partner of Fund VI. Castle Creek Capital VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of these shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital Partners VI LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
These securities, which were previously issued to Advisors IV on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc., are held directly by Advisors IV. Each of the reporting persons disclaims beneficial ownership of all of the securities held by Advisors IV, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that any reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
John M. Eggemeyer, a managing principal of Castle Creek Capital VI, LLC, serves on the Issuer's board of directors (the "Board") as a representative of Castle Creek Capital Partners VI, LP ("Fund VI"), pursuant to Fund VI's contractual right to nominate a representative to the Board. By virtue of his representation on the Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the reporting persons are deemed to be directors of the Issuer by deputization.
CASTLE CREEK CAPITAL PARTNERS VI, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President
2018-05-18
CASTLE CREEK CAPITAL VI LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President
2018-05-18
JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer
2018-05-18
J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas
2018-05-18
MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo
2018-05-18
JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak
2018-05-18