Initial Statement of Beneficial Ownership (3)
March 06 2020 - 12:30PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Dabney Cindy L |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2020
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3. Issuer Name and Ticker or Trading Symbol
SIERRA BANCORP [BSRR]
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(Last)
(First)
(Middle)
86 NORTH MAIN STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
SVP/Chief Accounting Officer / |
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(Street)
PORTERVILLE, CA 93257
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 3809 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Options | 11/18/2011 | 11/18/2020 | Common Stock | 800 | $10.73 | D | |
| Stock Options | 11/17/2012 | 11/17/2021 | Common Stock | 1200 | $10.58 | D | |
| Stock Options | 11/15/2013 | 11/15/2022 | Common Stock | 1600 | $10.21 | D | |
| Stock Options | 2/18/2016 (1) | 2/18/2026 | Common Stock | 1000 | $17.25 | D | |
| Stock Options | 2/16/2017 (2) | 2/16/2027 | Common Stock | 1000 | $28.21 | D | |
| Stock Options | 2/15/2019 (3) | 2/15/2028 | Common Stock | 1000 | $27.35 | D | |
| Stock Options | 2/21/2020 (4) | 2/21/2029 | Common Stock | 1000 | $27.30 | D | |
| Explanation of Responses: |
| (1) | 5 year vesting with first vesting 02/18/2016 and last 02/18/21 |
| (2) | 5 year vesting with first vesting 02/16/17 and last 02/16/22 |
| (3) | 5 year vesting with first vesting 02/15/2019 and last 02/15/2023 |
| (4) | 5 year vesting with first vesting 02/21/2020 and last 02/21/2024 |
Remarks:
Adding New Officer |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Dabney Cindy L
86 NORTH MAIN STREET
PORTERVILLE, CA 93257 |
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| SVP/Chief Accounting Officer |
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Signatures
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| Cindy L. Dabney | | 3/6/2020 |
| **Signature of Reporting Person | Date |
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