-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D4SRViTCCrGb5z3HI4DjYkHTA428GF/rnqFjifUZDQt/me1AZedHlS7lMroXtDQw 2cug7nlXvi/TAxbY/Q31Rg== 0000913849-02-000280.txt : 20020912 0000913849-02-000280.hdr.sgml : 20020912 20020912102631 ACCESSION NUMBER: 0000913849-02-000280 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020910 FILED AS OF DATE: 20020912 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SUSMAN MICHAEL B CENTRAL INDEX KEY: 0001187974 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 161 EAST CHICAGO AVENUE CITY: CHICAGO STATE: IL ZIP: 60611 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PRIVATEBANCORP INC CENTRAL INDEX KEY: 0000889936 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 363681151 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25887 FILM NUMBER: 02762159 BUSINESS ADDRESS: STREET 1: TEN NORTH DEARBORN SUITE 900 CITY: CHICAGO STATE: IL ZIP: 60602 MAIL ADDRESS: STREET 1: TEN NORTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60602 4 1 f4_091002.txt FORM 4 - SUSMAN (SEPTEMBER 10, 2002) U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Susman Michael B. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 161 East Chicago Avenue - -------------------------------------------------------------------------------- (Street) Chicago Illinois 60611 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol PrivateBancorp, Inc. (PVTB) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year September 10, 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 340 A $ 6.875 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 480 A $ 7.8125 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 480 A $ 7.8125 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 540 A $ 9.375 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 540 A $10.9375 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 540 A $17.1875 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 750 A $ 18.00 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 750 A $ 12.375 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 09/10/02 M 750 A $ 14.00 36,370 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 6.875 09/10/02 M 340 12/31/93 01/27/03 Common 340 340 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 7.8125 09/10/02 M 480 12/31/94 05/25/04 Common 480 480 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 7.8125 09/10/02 M 480 12/31/95 02/22/05 Common 480 480 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 9.375 09/10/02 M 540 12/31/96 04/24/06 Common 540 540 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $10.9375 09/10/02 M 540 12/31/97 04/23/07 Common 540 540 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $17.1875 09/10/02 M 540 12/31/98 06/24/08 Common 540 1,620 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 18.00 09/10/02 M 750 12/31/99 04/21/09 Common 750 2,250 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 12.375 09/10/02 M 750 12/31/00 05/25/10 Common 750 2,250 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (right to buy) $ 14.00 09/10/02 M 750 12/31/01 04/25/11 Common 750 2,250 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: /s/ Jennifer Durham King* 9/12/02 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date *Attorney-in-fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----