BANC director awarded 4,780 RSUs in Form 4

BANC OF CALIFORNIA, INC. director James Andrew Barker reported an equity award rather than an open-market trade.

Rhea-AI Filing Summary

BANC OF CALIFORNIA, INC. director James Andrew Barker reported an equity award rather than an open-market trade. On the reported date, he received 4,780 restricted stock units (RSUs) of common stock as consideration for his service on the Board of Directors, with shares to be issued in full on the one-year anniversary of the grant date upon vesting.

Following this award, Barker holds 48,907 shares of common stock directly, and 169,680 shares indirectly through the James A. Barker Living Trust. The direct amount includes 875 shares acquired through the company’s Dividend Reinvestment Plan.

Insider Trade Summary

Grant/Award: 4,780 shares

Grant/Award 2 txns

Insider Barker James Andrew

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	4,780	$0.00	$0.00
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 48,907 shares (Direct); Common Stock — 169,680 shares (Indirect, By the James A. Barker Living Trust)

Footnotes (2)

1. F1. Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.
2. F2. Amount reported includes 875 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.

Key Figures

RSUs granted: 4,780 units Grant price per RSU: $0.00 per unit Direct common shares after grant: 48,907 shares +2 more

5 metrics

RSUs granted 4,780 units Restricted stock units issued as Board compensation on grant date

Grant price per RSU $0.00 per unit Stated transaction price for the RSU award

Direct common shares after grant 48,907 shares Total direct holdings of Banc of California common stock after transaction

Indirect common shares via trust 169,680 shares Indirect holdings through the James A. Barker Living Trust

Dividend Reinvestment Plan shares 875 shares Direct holdings component acquired under Dividend Reinvestment Plan

Key Terms

restricted stock units ("RSUs"), Dividend Reinvestment Plan, Board of Directors, Living Trust

4 terms

restricted stock units ("RSUs") financial

"Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

Dividend Reinvestment Plan financial

"includes 875 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan"

A dividend reinvestment plan lets shareholders automatically use cash dividends to buy more shares of the same company instead of receiving the money. It matters to investors because it turns regular payouts into a steady way to grow ownership and take advantage of compound returns—like having your savings automatically buy additional slices of a pie over time—while often reducing transaction costs and smoothing purchase timing.

Board of Directors financial

"RSUs issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors"

The Board of Directors is a group of people chosen by a company's owners to help make big decisions and oversee how the company is run. They act like a team of advisors or managers, making sure the company stays on track and meets its goals. Their choices can influence the company's success and how it grows.

Living Trust financial

"By the James A. Barker Living Trust"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did BANC director James Andrew Barker report in his latest Form 4 for BANC?

James Andrew Barker reported receiving 4,780 restricted stock units of Banc of California common stock as compensation for his Board service. These RSUs vest on the one-year anniversary of the grant date, when shares will be issued in full if vesting conditions are satisfied.

How many Banc of California shares does James Andrew Barker hold after this Form 4?

After the reported transactions, James Andrew Barker holds 48,907 shares of Banc of California common stock directly and 169,680 shares indirectly through the James A. Barker Living Trust. The direct holdings figure includes 875 shares acquired under the company’s Dividend Reinvestment Plan.

Was James Andrew Barker’s Banc of California Form 4 a stock purchase or a grant?

The Form 4 shows an equity grant, not an open-market purchase. Barker received 4,780 restricted stock units at a stated price of $0.00 per share as compensation for serving on Banc of California’s Board of Directors, with future share issuance upon vesting.

When will James Andrew Barker’s Banc of California RSUs reported on Form 4 vest?

The restricted stock units granted to James Andrew Barker are scheduled to vest on the one-year anniversary of the grant date. Once vested, Banc of California will issue the underlying common shares in full, according to the footnote disclosure in the filing.

Does James Andrew Barker hold Banc of California shares indirectly through a trust?

Yes. The Form 4 reports that James Andrew Barker indirectly owns 169,680 Banc of California common shares through the James A. Barker Living Trust. This position is separate from his 48,907 directly held shares and reflects trust-based indirect ownership reported in the filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/08/2026 - 04:44 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Barker James Andrew

(Last) (First) (Middle)

C/O BANC OF CALIFORNIA, INC.

3 MACARTHUR PLACE

(Street)

SANTA ANA CALIFORNIA 92707

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
BANC OF CALIFORNIA, INC. [ BANC ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/06/2026		A(1)		4,780	A	$0.00	48,907(2)	D
Common Stock								169,680	I	By the James A. Barker Living Trust

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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 Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for his service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.

2. Amount reported includes 875 shares of the Issuer's common stock acquired pursuant to Issuer's Dividend Reinvestment Plan.

Remarks:

	/s/ Ido Dotan, Attorney-in-Fact for James Andrew Barker	05/08/2026
	** 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 Number.
* Form 4: SEC 1474 (03-26)