0001104659-17-053669.txt : 20170825 0001104659-17-053669.hdr.sgml : 20170825 20170825160451 ACCESSION NUMBER: 0001104659-17-053669 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170203 FILED AS OF DATE: 20170825 DATE AS OF CHANGE: 20170825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS J MIKESELL CENTRAL INDEX KEY: 0001242722 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052034 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052032 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052033 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052035 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052031 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-51018 FILM NUMBER: 171052030 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/A 1 a4a.xml 4/A X0306 4/A 2017-02-03 2017-02-07 0 0001295401 Bancorp, Inc. TBBK 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 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 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 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 3026598 I See Footnote Common Stock 15000 I See Footnote 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 restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc., were previously issued to Castle Creek Advisors IV LLC, on behalf of John M. Eggemeyer in his capacity as a member of the Board of Directors of The Bancorp, Inc. (the "Board"). Each of these restricted stock units will become fully vested on February 3, 2018, subject to Mr. Eggemeyer's continued service on the Board. This Form 4 amendment is being filed to correct the vesting schedule of the 15,000 restricted stock units set forth in Table I. Pursuant to a Stock Award Agreement, each of the 15,000 units will become fully vested on February 3, 2018, subject to Mr. Eggemeyer's continued service on the Issuer's board of directors (the "Board") through such date. The Form 4 previously filed in connection with the issuance of the restricted stock units had reported that the units vested in three equal annual installments beginning on February 3, 2018. John M. Eggemeyer, a managing principal of Castle Creek Capital VI, LLC, serves on 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 2017-08-25 CASTLE CREEK CAPITAL VI LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2017-08-25 JOHN M. EGGEMEYER, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer 2017-08-25 J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas 2017-08-25 MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo 2017-08-25 JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak 2017-08-25