Philipp Garcia Form 3 PACIFIC MERCANTILE BANCORP / Philipp Garcia ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:	3235-0104
Estimated average burden
hours per response:	0.5

1. Name and Address of Reporting Person^*

Garcia Philipp

(Last) (First) (Middle)

949 SOUTH COAST DRIVE

THIRD FLOOR

(Street)

COSTA MESA CA 92626

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/27/2020

3. Issuer Name and Ticker or Trading Symbol
PACIFIC MERCANTILE BANCORP [ PMBC ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
EVP

5. If Amendment, Date of Original Filed (Month/Day/Year)

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 Beneficially Owned
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	17,415	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: 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 (Right to buy)	(1)	10/09/2022	Common Stock	4,000	6.47	D
Stock Options (Right to buy)	(2)	04/17/2023	Common Stock	10,000	6.07	D
Stock Options (Right to buy)	(3)	02/17/2025	Common Stock	3,085	7.1	D
Stock Options (Right to buy)	(4)	06/14/2026	Common Stock	7,500	6.95	D
Stock Options (Right to buy)	(5)	02/21/2028	Common Stock	5,047	8.15	D

Explanation of Responses:

1. 3 Years Annually beginning 09-Oct-2015

2. 3 Years Annually beginning 17-Apr-2014

3. 3 Years Annually beginning 17-Feb-2016

4. 5 Years Annually beginning 14-Jun-2017

5. 3 Years Annually beginning 21-Feb-2019

Remarks:

	/s/ Nancy Gray, attorney in fact for GARCIA PHILIPP	04/01/2020
	** 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 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).
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 Number.