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Name | Symbol | Market | Type |
---|---|---|---|
First Republic Preferred Capital Corp. - Preferred Stock, Convertible (MM) | NASDAQ:FRCCO | NASDAQ | Preference Share |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 25.08 | 0 | 01:00:00 |
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ] Form 3 Holdings Reported [ X ] Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0362 Expires: February 28, 2011 Estimated average burden hours per response... 1.0 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person * Baumberger James J. | 2. Issuer Name and Ticker or Trading Symbol FIRST REPUBLIC PREFERRED CAPITAL CORP [FRCCO] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__ X __ Officer (give title below) _____ Other (specify below) President |
|
3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
|
|
|
4. 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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
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Amount | (A) or (D) | Price | ||||||||
Common Stock | 1/24/2005 | D4 (1) | 80 | D | $2.5 | 0 | D | |||
Series B Preferred Stock | 1/24/2002 | P4 (2) | 12000 | A | $25.00 | 12000 | D | |||
Series B Preferred Stock | 11/19/2007 | D4 (3) | 12000 | D | $25.00 | 0 | D | |||
Series D Preferred Stock | 6/23/2003 | P4 | 4000 | A | $25.00 | 4000 | I | By Trust | ||
Series D Preferred Stock | 11/27/2007 | P4 | 4925 | A | $22.2528 | 8925 | I | By Trust | ||
Series D Preferred Stock | 11/28/2007 | P4 | 3075 | A | $22.9993 | 12000 | I | By Trust | ||
Series D Preferred Stock | 12/22/2008 | P4 | 1200 | A | $15.6966 | 13200 | I | By Trust | ||
Series D Preferred Stock | 12/29/2008 | P4 | 1800 | A | $15.5210 | 15000 | I | By Trust | ||
Series D Preferred Stock | 12/30/2008 | P4 | 1935 | A | $15.6967 | 16935 | I | By Trust | ||
Series D Preferred Stock | 12/31/2008 | P4 | 400 | A | $16.0223 | 17335 | I | By Trust | ||
Series D Preferred Stock | 1/15/2009 | P4 | 665 | A | $16.0134 | 18000 | I | By Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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
(MM/DD/YYYY) |
7. Title and Amount of Securities Underlying Derivative Security
(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 |
Explanation of Responses: | |
( 1) | During January 2005, the Company offered to repurchase all shares of the common stock not held by First Republic Bank. |
( 2) | Believed to have been purchased in the initial public offering of the Series B Preferred Stock. |
( 3) | All shares of the Series B Preferred Stock were redeemed by the issuer on November 19, 2007 at a price equal to their redemption value. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Baumberger James J.
FIRST REPUBLIC PREFERRED CAPITAL CORP. 111 PINE STREET SAN FRANCISCO, CA 94111 |
X |
|
President |
|
Signatures
|
||
Michael J. Roffler, Power of Attorney | 3/25/2011 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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 Year First Republic Preferred Capital Corp. - Preferred Stock, Convertible (MM) Chart |
1 Month First Republic Preferred Capital Corp. - Preferred Stock, Convertible (MM) Chart |
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