Every SEC Form 3/4/5 on record for this filer (CIK 1197257) — 11 issuers, 67 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| BANC | BANC OF CALIFORNIA, INC. | Director | 2023-12-04 → 2026-05-08 | 6 | — |
| NPB | NORTHPOINTE BANCSHARES INC | Director | 2025-02-13 → 2025-02-13 | 1 | — |
| PACW | PACWEST BANCORP | Director · lapsed | 2015-10-08 → 2023-11-30 | 21 | −$118M |
| TBBK | Bancorp, Inc. | Director · lapsed | 2017-02-07 → 2023-05-31 | 12 | $702,750 |
| FRST | Primis Financial Corp. | Director · lapsed | 2021-06-23 → 2021-08-06 | 2 | $6,406 |
| GBNK | Guaranty Bancorp | Director · lapsed | 2016-05-04 → 2019-01-03 | 7 | −$21M |
| GFED | GUARANTY FEDERAL BANCSHARES INC | 10% owner · lapsed | 2016-08-03 → 2017-08-15 | 4 | — |
| SONA | Southern National Bancorp of Virginia Inc | 10% owner · lapsed | 2017-06-26 → 2017-06-26 | 1 | — |
| HTBK | HERITAGE COMMERCE CORP | Director · lapsed | 2016-05-05 → 2016-11-23 | 12 | −$56M |
| HEOP | HERITAGE OAKS BANCORP | 10% owner · lapsed | 2015-11-09 → 2015-11-18 | 2 | — |
| FNBC | First NBC Bank Holding Co | 10% owner · lapsed | 2015-11-09 → 2015-11-09 | 1 | — |
No open-market buy or sale on record — only grants, exercises, withholding or gifts. Switch to “All forms” to see them.
4 of 11 issuers are covered and open a security page; the rest are on file here only.
