John Farkash - May 10, 2023 Form 3/A - Amendment Insider Report for Southern California Bancorp \ CA (BCAL)

Role
Director, 10%+ Owner
Signature
Manisha Merchant, by POA for John Farkash
Stock symbol
BCAL
Transactions as of
May 10, 2023
Transactions value $
$0
Form type
3/A - Amendment
Date filed
9/15/2023, 05:26 PM
Date Of Original Report
May 10, 2023
Next filing
Feb 27, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding BCAL Common Stock 2.4M May 10, 2023 JOHN FARKASH & HEIDI ELLEN FARKASH TR UA 11/19/2011
holding BCAL Common Stock 584K May 10, 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding BCAL Stock Options May 10, 2023 Common Stock 7.5K $6.37 Direct F2
holding BCAL Stock Options May 10, 2023 Common Stock 10K $7.95 Direct F2
holding BCAL Stock Options May 10, 2023 Common Stock 15K $9.67 Direct F2
holding BCAL Stock Options May 10, 2023 Common Stock 15K $12.96 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This amendment corrects the number of shares beneficially owned directly by the Reporting Person. Such shares include 582,967 shares owned by John and Heidi Farkash. Such shares also include restricted stock units ("RSUs") granted to the Reporting Person on January 18, 2023, of which, as of the filing date of the original Form 3 (May 10, 2023), 1,452 shares remained to be issued upon vesting of the RSUs in three installments on July 3, 2023, October 3, 2023 and January 3, 2024.
F2 These options are fully vested.
F3 Includes stock options that were granted to the reporting person on February 20, 2019, of which 3,000 shares remain to be vested, and will vest on February 20, 2024.