UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options on PPBI Common Stock | Â (2) | 01/02/2023 | PPBI Common Stock | 2,500 | $ 10.44 | D | Â |
Options on PPBI Common Stock | Â (3) | 01/02/2024 | PPBI Common Stock | 2,500 | $ 15.68 | D | Â |
Options on PPBI Common Stock | Â (4) | 01/28/2025 | PPBI Common Stock | 5,000 | $ 15.16 | D | Â |
Options on PPBI Common Stock | Â (5) | 01/05/2026 | PPBI Common Stock | 7,500 | $ 20.42 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dawson Teresa M 17901 VON KARMAN AVE. SUITE 1200 IRVINE, CA 92614 |
 |  |  Chief Retail Banking Officer |  |
Teresa M. Dawson | 04/06/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 7,000 shares of restricted stock granted on 6/27/2016, 3,000 shares of restricted stock granted on 12/12/2016 and 5,000 shares of restricted stock granted on 2/28/2018. Each restricted stock grant is subject to a three-year vesting schedule and to forfeiture upon the occurrence of certain events, in each case as specified in the applicable award agreement. |
(2) | The option vests in three equal annual installments beginning on 1/2/2014. |
(3) | The option vests in three equal annual installments beginning on 1/2/2015. |
(4) | The option vests in three equal annual installments beginning on 1/28/2016. |
(5) | The option vests in three equal annual installments beginning on 1/5/2017. |