UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 8)*
PACIFIC CAPITAL BANCORP
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class of Securities)
801233-10-7
- --------------------------------------------------------------------------------
(CUSIP Number)
Jay Donald Smith, Esq.
200 East Carrillo Street,
Ste. 300
Santa Barbara, CA 93101
(805) 564-6310
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
June 30, 1999
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rules 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box [ ].
Note: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See 240.13d-7(b) for
other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE>
SCHEDULE 13D
- ----------------------- --------------
CUSIP No. 8012330-10-7 Page 4 of 1
- ----------------------- --------------
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
Santa Barbara Bank & Trust, as Trustee of the Pacific Capital Bancorp
Employee Stock Ownership Plan and Trust
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
21,240
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,664,487
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 1,685,727
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
NONE
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,685,727
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.87%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DONALD M. ANDERSON
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
538,254
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 538,254
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
538,254
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.17%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
EDWARD E. BIRCH
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
25,440
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 25,440
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,440
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.10%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
CATHERINE R. STEINKE
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
24,900
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 24,900
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
46,140
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.19%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
RICHARD M. DAVIS
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
46,711
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 46,711
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
46,711
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.19%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DALE E. HANST
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
109,296
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 109,296
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
109,296
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.44%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
D. VERNON HORTON
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
152,786
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 152,786
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
174,026
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.70%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
ROGER C. KNOPF
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
247,361
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 247,361
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
247,361
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.00%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
CLAYTON C. LARSON
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
212,694
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 212,694
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
233,934
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.94%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
KATHY J. ODELL
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.00%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
WILLIAM H. POPE
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
59,518
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 59,518
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
59,518
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.24%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
HARRY B. POWELL
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
36,247
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 36,247
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
36,247
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.15%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DAVID W. SPAINHOUR
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
469,078
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 469,078
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
490,318
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.97%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
WILLIAM S. THOMAS, JR.
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
105,087
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 105,087
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
126,327
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.51%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DONALD E. BARRY
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
42,085
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 42,085
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
63,325
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.25%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DONALD E. LAFLER
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
45,261
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 45,261
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,501
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.27%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
PAULETTE POSCH
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
32,633
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 32,633
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
53,873
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.22%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
DAVID RISTIG
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
27,520
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 27,520
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,760
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.20%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
JAY D. SMITH, ESQ.
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
174,830
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 174,830
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
196,070
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.79%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
KENT M. VINING
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- -------------------------------------------------------------------------------
7 SOLE VOTING POWER
66,113
NUMBER OF ---------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 21,240
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 66,113
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
21,240
---------------------------------------------------
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
87,353
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.35%
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
<PAGE>
Page 27 of 1
SCHEDULE 13D
(Amendment No. 8)
The Schedule 13D jointly filed by Santa Barbara Bank & Trust and others with
respect to the Pacific Capital Bancorp Employee Stock Ownership Plan and Trust
is hereby amended as follows. The Schedule 13D was originally filed on January
31, 1985 and subsequently was amended by Amendments No. 1, 2, 3, 4, 5, 6 and 7.
Item 1. Security and Issuer.
Common Stock of Pacific Capital Bancorp, a California corporation ("Bancorp"),
whose principal executive offices are located at 200 East Carrillo Street, Ste.
300, Santa Barbara, California 93101.
Item 2. Identity and Background.
The shares of Common Stock of Bancorp with respect to which this Schedule 13D is
being filed are owned of record by Santa Barbara Bank & Trust, as Trustee of the
Pacific Capital Bancorp Employee Stock Ownership Plan and Trust (the "ESOP").
This Schedule 13D is being jointly filed by Santa Barbara Bank & Trust, as
Trustee of the ESOP, by the members of the Advisory Committee of the ESOP, and
by the officers and Directors of Bancorp. The identity and other applicable
information about the persons filing this Schedule 13D are set forth below. (The
ESOP previously was denominated the "Santa Barbara Bank & Trust Employee Stock
Ownership Plan and Trust." Effective as of January 1, 1998, the ESOP was amended
and restated as the "Pacific Capital Bancorp Employee Stock Ownership Plan and
Trust" and Pacific Capital Bancorp was designated as the Employer for periods on
and after January 1, 1999. As the employer under the ESOP, Bancorp has the
authority to appoint the Trustee of the ESOP. Santa Barbara Bank & Trust
continues as the Trustee of the Trust established with respect to the ESOP.)
Santa Barbara Bank & Trust, as Trustee
Santa Barbara Bank & Trust
State of Incorporation: California
Principal Business: California State-Chartered Bank
Address of Principal
Business and Offices: 200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Officers and Directors of Pacific Capital Bancorp
The following information is provided pursuant to General Instruction C
with respect to the Executive Officers and Directors of Bancorp and of Santa
Barbara Bank & Trust, a California corporation ("SBBT"). SBBT is a wholly owned
subsidiary of Bancorp. Unless otherwise identified, all of the following persons
identified as Directors, are Directors of both SBBT and Bancorp.
Name and Address Occupation & Business Address
David M. Anderson Director
200 E. Carrillo Street, Ste. 300 Chairman of the Board
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Edward E. Birch, Ph.D. Director
200 E. Carrillo Street, Ste. 300 Executive Vice president
Santa Barbara, CA 93101 Westmont College
955 La Paz Road
Montecito, CA 93108
Richard M. Davis Director
200 E. Carrillo Street, Ste. 300 Retired
Santa Barbara, CA 93101
Dale E. Hanst Director
200 E. Carrillo Street, Ste. 300 Retired
Santa Barbara, CA 93101
D. Vernon Horton Director
200 E. Carrillo Street, Ste. 300 Vice Chairman of Pacific Capital Bancorp
Santa Barbara, CA 93101 200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Roger C. Knopf Director
200 E. Carrillo Street, Ste. 300 President of Knopf Construction
Santa Barbara, CA 93101 Morgan Hill, CA
Clayton C. Larson Director
200 E. Carrillo Street, Ste. 300 Vice Chairman of Pacific Capital Bancorp
Santa Barbara, CA 93101 200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Kathy J. Odell Director
200 E. Carrillo Street, Ste. 300 Chief Operating Officer
Santa Barbara, CA 93101 Karl Storz Imaging, Inc.
175 Cremona Drive
Goleta, CA 93117
William H. Pope Director
200 E. Carrillo Street, Ste. 300 Retired
Santa Barbara, CA 93101
Harry B. Powell Director
200 E. Carrillo Street, Ste. 300 Retired
Santa Barbara, CA 93101
David W. Spainhour Director, President
200 E. Carrillo Street, Ste. 300 Pacific Capital Bancorp
Santa Barbara, CA 93101 200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
William S. Thomas, Jr. Director, President
200 E. Carrillo Street, Ste. 300 Chief Executive Officer
Santa Barbara, CA 93101 Santa Barbara Bank & Trust
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Donald E. Barry Executive Vice President and Trust &
200 E. Carrillo Street, Ste. 300 Investment Services Manager
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Donald E, Lafler Senior Vice President and
200 E. Carrillo Street, Ste. 300 Chief Financial Officer
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Paulette Posch Vice President and
200 E. Carrillo Street, Ste. 300 Employee Benefits Plan Manager
Santa Barbara, CA 93101 Santa Barbara Bank & Trust
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
David Ristig Senior Vice President and
200 E. Carrillo Street, Ste. 300 MIS/Operating Manager
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Jay D. Smith, Esq. Senior Vice President and
200 E. Carrillo Street, Ste. 300 General Counsel
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Catherine R. Steinke Senior Vice President and
200 E. Carrillo Street, Ste. 300 Director of Human Resources
Santa Barbara, CA 93101 Pacific Capital Bancorp
200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Kent M. Vining Senior Vice President
200 E. Carrillo Street, Ste. 300 Pacific Capital Bancorp
Santa Barbara, CA 93101 200 E. Carrillo Street, Ste. 300
Santa Barbara, CA 93101
Advisory Committee
The ESOP is administered by an Advisory Committee. The Advisory Committee has
the power to direct the Trustee to vote shares of Common Stock held by the ESOP
to the extent that those shares are not allocated to individual Participant
accounts. As of the date of this Schedule, there are 21,240 shares of Common
Stock held by the ESOP which have not been allocated to individual Participant
accounts. The following information is provided with respect to the members of
the Advisory Committee.
Name and Address Occupation & Business Address
Donald E. Barry See above
D. Vernon Horton See above
Donald E. Lafler See above
Clayton C. Larson See above
Paulette Posch See above
David Ristig See above
Jay D. Smith, Esq. See above
David W. Spainhour See above
Catherine R. Steinke See above
William S. Thomas, Jr. See above
Kent M. Vining See above
(d) During the last five years, none of Bancorp, SBBT or any of the persons
named above has been convicted in a criminal proceeding (excluding traffic
violations and similar misdemeanors).
(e) During the last five years, none of Bancorp, SBBT or any of the persons
named above was a party to any proceeding or is or was subject to any judgment,
decree or final order of the type described in paragraph (e) of Item 2 of the
Instructions.
(f) All of the above named natural persons are citizens of the United States.
Disclaimer
Each of the members of the Advisory Committee and each of the officers and
Directors of Bancorp named above disclaims any beneficial ownership of the
shares of Common Stock held in the ESOP, except only to the extent that such
individual is a Participant in the ESOP and such shares have been allocated to
such individual's Participant account. Further, each of the persons jointly
filing this Schedule expressly disaffirms and disclaims membership in any group
of persons who have acted or have agreed to act together for the purposes of
acquiring, holding, voting or disposing of Common Stock of Bancorp.
Item 3. Source and Amount of Funds or Other Consideration.
ESOP Purchases of Pacific Capital Bancorp Stock since June 25, 1997
Date of Purchase Shares Share Price Dollar Value
- ---------------- ------ ----------- ------------
01/29/99 12,500 $23.1250 $289,063
02/02/99 10,000 $23.1250 $231,250
02/09/99 2,500 $25.2500 $63,125
02/11/99 5,000 $25.2500 $126,250
02/12/99 11,650 $25.1786 $293,331
03/12/99 3,500 $23.7500 $83,125
03/17/99 3,500 $23.4375 $82,031
03/17/99 2,500 $23.5000 $58,750
03/23/99 11,740 $23.5000 $275,890
04/05/99* 239,684
04/09/99 2,500 $22.1875 $55,469
04/09/99 2,000 $22.1875 $44,375
04/22/99 5,000 $24.7500 $123,750
06/08/99 6,750 $29.5000 $199,125
06/30/99 28 $30.6250 $885
* Represents shares previously held by the Employee Stock Ownership Plan of the
former Pacific Capital Bancorp and transferred to the ESOP from Mechanics Bank
in connection with the merger of former Pacific Capital Bancorp with Bancorp
effective December 30, 1998.
The funds used by the ESOP to purchase the shares described above were
contributed to the ESOP by SBBT or Bancorp from its general operating revenues.
After giving effect to the transactions described above, the ESOP holds a total
of 1,665,727 shares of Common Stock.
Item 4. Purpose of Transaction.
The foregoing shares of Bancorp's Common Stock were acquired by the ESOP to be
held in the ESOP for the benefit of the employees of Bancorp, SBBT and the other
subsidiaries of Bancorp. None of the reporting persons has any present plans
which relate to or would result in any transaction of the type described in
clauses (a) through (j) of Item 4 of the Instructions.
<PAGE>
Item 5. Interest in Securities of the Issuer.
(a) The following table sets forth the number of shares of Common Stock of
Bancorp beneficially owned by (including shares over which options exist which
may be exercised within 60 days of the date of this Schedule) and the percentage
of ownership of (i) SBBT, as Trustee of the ESOP, (ii) each of the Executive
Officers and Directors of Bancorp, and (iii) each of the members of the Advisory
Committee of the ESOP.
NUMBER OF NUMBER OF
SHARES SHARES
WITH SOLE OPTION WITH TOTAL PERCENT OF
PERSON POWER (1) SHARES (2) POWER (3) SHARES CLASS (5)
------ ---------- ---------- --------- ------ ---------
Santa Barbara Bank & 21,240 1,664,727 1,685,727 6.87%
Trust, as Trustee of the
Pacific Capital Bancorp
Employee Stock Ownership
Plan and Trust
Donald M. Anderson 516,424 21,830 -0- 538,254 2.17%
Donald E. Barry 31,085 11,000 21,240 63,325 0.25%
Edward E. Birch 25,440 -0- -0- 25,440 0.10%
Richard M. Davis 44,711 2,600 -0- 46,711 0.19%
Dale E. Hanst 80,672 28,624 -0- 109,296 0.44%
D. Vernon Horton 120,785 32,001 21,240 174,026 0.70%
Roger C. Knopf 227,044 20,317 -0- 247,361 1.00%
Don E. Lafler 30,388 14,873 21,240 66,501 0.27%
Clayton Larson 180,693 32,001 21,240 233,934 0.94%
Kathy Odell -0- -0- -0- -0- 0.00%
William H. Pope 59,518 -0- -0- 59,518 0.24%
Paulette Posch 32,633 -0- 21,240 53,873 0.22%
Harry Powell 29,197 7,050 -0- 36,247 0.15%
David Ristig 15,997 11,523 21,240 48,760 0.20%
Jay D. Smith, Esq. 174,830 -0- 21,240 196,070 0.79%
David Spainhour 450,648 18,430 21,240 490,318 1.97%
Catherine Steinke 11,777 13,123 21,240 46,140 0.19%
William S. Thomas, Jr. 21,087 84,000 21,240 126,327 0.51%
Kent M. Vining 66,113 -0- 21,240 87,353 0.35%
<PAGE>
(1) Each of the above named individuals owns outright and possesses sole power
to vote and to direct the disposition of these shares.
(2) This column discloses shares subject to presently exercisable options held
by the named persons which are exercisable within 60 days of the date of this
Schedule.
(3) This column represents shares over which the named persons possess shared
power of disposition. Namely, these are the shares held in the ESOP and over
which members of the Advisory Committee have the power of disposition. The named
persons disclaim any beneficial ownership in any securities held by the ESOP,
except to the extent that such persons are Participants in the ESOP and shares
held by the ESOP have been allocated to such persons' individual Participant
accounts (as to such shares that have been allocated to such persons' individual
accounts, the named persons possess voting power, but do not possess investment
control or power of disposition over such shares). As Trustee of the ESOP, SBBT
has power, at the direction of the Advisory Committee, to vote shares that have
not been allocated to individual Participant accounts and the ultimate power of
disposition of shares held in the ESOP.
<PAGE>
Of the individuals named above, the following are Participants in the
ESOP and the following number of shares have been allocated to their individual
accounts:
Participant Shares
Donald M. Anderson 50,272
Donald E. Barry 1,085
Vernon D. Horton 14,889
Donald E. Lafler 9,223
Clayton Larson 14,639
David Ristig 7,119
Paulette Posch 15,457
Jay D. Smith 31,183
David Spainhour 52,028
Catherine R. Steinke 1,350
William S. Thomas, Jr. 1,399
Kent M. Vining 37,923
4) This column represents the total of columns 1 through 3, above.
5) In computing the number of shares of Common Stock of Bancorp outstanding, all
options reported in column 2 have been treated as exercised and the shares
underlying such options have been treated as issued and outstanding. On that
basis, as of the date of this Schedule, there are 24,532,760 shares actually
outstanding, options covering a total of 313,290 shares are deemed outstanding
and a total of 24,846,250 shares are deemed outstanding. Shares covered by
outstanding options have not been included as outstanding shares for purposes of
computing the percent of class held by the Trustee.
6) In addition to the transactions described in Item 3 above, since the filing
of Amendment No. 7 to the Schedule 13D, (i) certain of the reporting persons
acquired additional shares of Common Stock of Bancorp and/or options on shares
of Common Stock of Bancorp under one or more of the Company's stock option plans
and (ii) certain of the reporting persons disposed of shares of Common Stock of
Bancorp for their own account. These transactions, which are reflected in the
above Table, did not result in a material change in the percentage ownership of
the reporting persons, either individually or in the aggregate.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
None.
Item 7. Material to be Filed as Exhibits
The following Exhibits are attached:
(a) Consent relating to the joint filing of this Schedule 13D.
[signatures begin on next page]
<PAGE>
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
SANTA BARBARA BANK & TRUST, as
Trustee of the Pacific Capital Bancorp
Employee Stock Ownership Plan and Trust
By: /s/ William S. Thomas, Jr.
- ---------------------------------------- ----------------------------
Date William S. Thomas, Jr., President
DIRECTIORS OF BANCORP
AND
MEMBERS OF THE ADVISORY COMMITTEE:
/s/ Donald M. Anderson
- ---------------------------------------- ----------------------------
Date Donald M. Anderson
/s/ Edward E. Birch
- ---------------------------------------- ----------------------------
Date Edward E. Birch
/s/ Richard M. Davis
- ---------------------------------------- ----------------------------
Date Richard M. Davis
/s/ Dale E. Hanst
- ---------------------------------------- ----------------------------
Date Dale E. Han
/s/ D. Vernon Horton
- ---------------------------------------- ----------------------------
Date D. Vernon Horton
/s/ Roger C. Knopf
- ---------------------------------------- ----------------------------
Date Roger C. Knopf
/s/ Clayton C. Larson
- ---------------------------------------- ----------------------------
Date Clayton C. Larson
/s/ Kathy J. Odell
- ---------------------------------------- ----------------------------
Date Kathy J. Odell
/s/ William H. Pope
- ---------------------------------------- ----------------------------
Date William H. Pope
/s/ Harry B. Powell
- ---------------------------------------- ----------------------------
Date Harry B. Powell
/s/ David W. Spainhour
- ---------------------------------------- ---------------------------
Date David W. Spainhour
/s/ William S. Thomas, Jr.
- ---------------------------------------- ----------------------------
Date William S. Thomas, Jr.
/s/ Donald E. Barry
- ---------------------------------------- ----------------------------
Date Donald E. Barry
/s/ Donald E. Lafler
- ---------------------------------------- ----------------------------
Date Donald E. Lafler
/s/ Paulette Posch
- ---------------------------------------- ----------------------------
Date Paulette Posch
/s/ David Ristig
- ---------------------------------------- ----------------------------
Date David Ristig
/s/ Jay D. Smith
- ---------------------------------------- ----------------------------
Date Jay D. Smith, Esq.
/s/ Catherine R. Steinke
- ---------------------------------------- ----------------------------
Date Catherine R. Steinke
/s/ Kent M. Vining
- ---------------------------------------- ----------------------------
Date Kent M. Vining
<PAGE>
CONSENT TO JOINT FILING OF SCHEDULE 13D
Each of the undersigned consents and agrees to the filing of a Joint Statement
on Schedule 13D pursuant to Rule 13d-1(k)(iii) pertaining to the shares of
Common Stock of Pacific Capital Bancorp held by the Pacific Capital Bancorp
Employee Stock Ownership Plan and Trust.
SANTA BARBARA BANK & TRUST, as
Trustee of the Pacific Capital Bancorp
Employee Stock Ownership Plan and Trust
By: /s/ William S. Thomas, Jr.
- ----------------------------- ----------------------------
Date William S. Thomas, Jr., President
DIRECTIORS OF BANCORP
AND
MEMBERS OF THE ADVISORY COMMITTEE:
/s/ Donald M. Anderson
- ---------------------------------------- ----------------------------
Date Donald M. Anderson
/s/ Edward E. Birch
- ---------------------------------------- ----------------------------
Date Edward E. Birch
/s/ Richard M. Davis
- ---------------------------------------- ----------------------------
Date Richard M. Davis
/s/ Dale E. Hanst
- ---------------------------------------- ----------------------------
Date Dale E. Han
/s/ D. Vernon Horton
- ---------------------------------------- ----------------------------
Date D. Vernon Horton
/s/ Roger C. Knopf
- ---------------------------------------- ----------------------------
Date Roger C. Knopf
/s/ Clayton C. Larson
- ---------------------------------------- ----------------------------
Date Clayton C. Larson
/s/ Kathy J. Odell
- ---------------------------------------- ----------------------------
Date Kathy J. Odell
/s/ William H. Pope
- ---------------------------------------- ----------------------------
Date William H. Pope
/s/ Harry B. Powell
- ---------------------------------------- ----------------------------
Date Harry B. Powell
/s/ David W. Spainhour
- ---------------------------------------- ----------------------------
Date David W. Spainhour
/s/ William S. Thomas, Jr.
- ---------------------------------------- ----------------------------
Date William S. Thomas, Jr.
/s/ Donald E. Barry
- ---------------------------------------- ----------------------------
Date Donald E. Barry
/s/ Donald E. Lafler
- ---------------------------------------- ----------------------------
Date Donald E. Lafler
/s/ Paulette Posch
- ---------------------------------------- ----------------------------
Date Paulette Posch
/s/ David Ristig
- ---------------------------------------- ----------------------------
Date David Ristig
/s/ Jay D. Smith
- ---------------------------------------- ----------------------------
Date Jay D. Smith, Esq.
/s/ Catherine R. Steinke
- ---------------------------------------- ----------------------------
Date Catherine R. Steinke
/s/ Kent M. Vining
- ---------------------------------------- ----------------------------
Date Kent M. Vining
Exhibit A
