|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN 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 |
|
| |||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Option (Right to Buy) | $ 10.6 (4) | Â | Â | 3 | Â | Â | 12/31/2004 | 06/15/2014 | Common Stock | Â | 1,800 | Â | ||
Stock Option (Right to Buy) | $ 6.5 (5) | Â | Â | 3 | Â | Â | 10/14/2009(6) | 10/14/2018 | Common Stock | Â | 2,000 | Â | ||
Stock Option (Right to Buy) | $ 4.05 (7) | Â | Â | 3 | Â | Â | 03/01/2012(8) | 03/01/2022 | Common Stock | Â | 14,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'NEIL ROBERT J C/O BANK OF COMMERCE HOLDINGS 1901 CHURN CREEK ROAD REDDING, CA 96002 |
 |  |  SVP/Regional President |  |
Andrea Schneck, Attorney-in-Fact | 02/14/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The reporting person became subject to the filing requirements of Section 16(a) on December 17, 2013, but a Form 3 was not timely filed. The reporting person beneficially owned 3,000 shares of Common Stock of the issuer on December 17, 2013. |
(2) | Since December 17, 2013, the reporting person has purchased 1,004 shares of Common Stock of the Issuer, and said transaction was reported timely on Form 4 filed with the SEC on January 8, 2014. |
(3) | This line of information was previously reported on Form 4, which was timely filed with the SEC on 1/6/2014. The holding is not new but is being reported again (i) to reflect a change in the total amount of securities beneficially owned following reported transaction due to a typographical error and (ii) to indicate that the total includes 3,812 shares of the issuers common stock acquired through the reporting persons 401(k) account. |
(4) | The Closing price of BOCH common stock on June 15, 2004 was $10.7083, as quoted on the NASDAQ Global Market. |
(5) | The Closing price of BOCH common stock on October 14, 2008 was $6.4999, as quoted on the NASDAQ Global Market. |
(6) | 20% of the options vest and become exercisable on each of October 14, 2009, 2010, 2011, 2012 and 2013. |
(7) | Closing price of BOCH common stock on March 1, 2012, as quoted on the NASDAQ Global Market. |
(8) | 20% of the options vest and become exercisable on each of March 1, 2012, 2013, 2014, 2015 and 2016. |