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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PATRIOT FINANCIAL PARTNERS GP, LLC CIRA CENTRE 2929 ARCH STREET, 27TH FLOOR PHILADELPHIA, PA 19104 |
 |  X |  |  |
/s/ W. Kirk Wycoff | 09/01/2011 | |
**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) | On August 24, 2011, Patriot Financial Partners, L.P. exchanged the 258,862 shares of its Non-voting Common Stock for 258,862 shares of Common Stock. As a result, the Reporting Persons beneficially own an aggregate of 1,142,862 shares of Common Stock. |
(2) | The Reporting Person is the general partner of Patriot Financial Partners GP, L.P., which in turn is the general partner of Patriot Financial Partners, L.P. and Patriot Financial Partners Parallel, L.P. and as such may be deemed to be the indirect beneficial owner of such shares under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, Patriot Financial Partners GP, LP disclaims that it is the benefical owner of such shares, except to the extent of its pecuniary interest. |