Filing Details
- Accession Number:
- 0001140361-13-033713
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-20 21:49:17
- Reporting Period:
- 2013-08-16
- Filing Date:
- 2013-08-20
- Accepted Time:
- 2013-08-20 21:49:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1493491 | Heritage Financial Group Inc | HBOS | Savings Institution, Federally Chartered (6035) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1325810 | J Douglas Mcginley | C/O Heritage Financial Group, Inc 721 North Westover Boulevard Albany GA 31707 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-16 | 23,071 | $14.97 | 48,866 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-08-16 | 8,192 | $11.94 | 57,058 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-16 | 4,763 | $19.00 | 52,295 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-08-19 | 3,000 | $19.00 | 49,295 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-08-16 | 23,071 | $0.00 | 23,071 | $14.97 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2013-08-16 | 8,192 | $0.00 | 8,192 | $11.94 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-05-19 | 2016-05-19 | No | 4 | M | Direct |
| 0 | 2012-07-01 | 2022-07-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,000 | Indirect | By IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | $11.94 | 2012-07-01 | 2022-07-01 | 12,288 | 0 | Direct |
| Common Stock | Stock Option(Right to Buy) | $11.94 | 2012-07-01 | 2022-07-01 | 12,288 | 0 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-07-01 | 12,288 | 0 | Direct |
| 2022-07-01 | 12,288 | 0 | Direct |
Footnotes
- Transaction represents exercise of options and sale of shares as part of a cashless transaction.
- Transaction represents an award of stock appreciation rights under the Issuer's 2011 Equity Incentive Plan. The rights are scheduled to vest in five equal annual installments beginning on July 1, 2012.
- Transaction represents an award of stock options under the Issuer's 2011 Equity Incentive Plan. The options are scheduled to vest in five equal annual installments beginning on July 1, 2012.
- The stock appreciation rights and stock options were granted in tandem. Accordingly, the exercise of one results in the termination of the other.
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