0001620863-23-000038.txt : 20230613 0001620863-23-000038.hdr.sgml : 20230613 20230613174551 ACCESSION NUMBER: 0001620863-23-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230612 FILED AS OF DATE: 20230613 DATE AS OF CHANGE: 20230613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH RICHARD P CENTRAL INDEX KEY: 0001198468 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-10661 FILM NUMBER: 231012364 MAIL ADDRESS: STREET 1: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRICO BANCSHARES / CENTRAL INDEX KEY: 0000356171 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 942792841 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TRICO BANCSHARES STREET 2: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 BUSINESS PHONE: 5308980300 MAIL ADDRESS: STREET 1: TRICO BANCSHARES STREET 2: 63 CONSTITUTION DRIVE CITY: CHICO STATE: CA ZIP: 95973 4 1 primary_doc.xml PRIMARY DOCUMENT X0407 4 2023-06-12 0 0000356171 TRICO BANCSHARES / TCBK 0001198468 SMITH RICHARD P 63 CONSTITUTION DRIVE CHICO CA 95973 1 1 0 0 CEO, President & Chairman 0 Common Stock 2023-06-12 4 M 0 15962 A 263869 D Common Stock 2023-06-12 4 F 0 9154 37.21 D 254715 D Common Stock 2023-06-12 4 J 0 0 0 A 38299.26 I By ESOP Common Stock 2023-06-12 4 J 0 0 0 A 251.44 I By spouse Common Stock 2023-06-12 4 J 0 0 0 A 1163292 I ESOP Trustee Performance Stock Unit 2023-06-12 4 M 0 15962 0 D Common Stock 15962 17821 D Restricted stock unit 2023-06-12 4 A 0 13271 0 A Common Stock 13271 32800 D Performance Stock Unit 2023-06-12 4 A 0 13271 0 A Common Stock 13271 31092 D Vesting of performance-based stock unit (PSU). Each PSU represented the right to receive 0%-150% of the target number based on the Issuers total stockholder return relative to the KBW Regional Banking Index (based on an initial grant of 13258 PSUs which was reported in the original Form 4 for this grant). PSUs vested at 120.4%. Reflects shares withheld to pay tax liability. No transactions occurred amongst these shares. Intended only to reflect the number of shares beneficially owned. Represents a grant of Restricted Stock Unit (RSU) award which vests 33.3% per year over 3 years. Cash dividends on RSUs are reinvested in shares of Issuers common stock at fair market value on date of dividend payment. Per unit value on date of grant was $33.74 (based on the 30-day average closing price of Issuers common stock ending 06/12/2023). Represents a grant of Performance-based restricted stock unit (PSU) award that cliff vests after 3 years between 0% and 150% of the target number of shares (the numbers of shares listed in box 5) based on the Issuers total stockholder return relative to the KBW Regional Banking Index. /s/ Richard P. Smith by Janine Howard, Attorney-in-Fact 2023-06-13