Filing Details
- Accession Number:
- 0001053352-15-000080
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-02 16:56:10
- Reporting Period:
- 2015-08-31
- Filing Date:
- 2015-09-02
- Accepted Time:
- 2015-09-02 16:56:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1053352 | Heritage Commerce Corp | HTBK | State Commercial Banks (6022) | 770469558 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1305150 | W Jack Conner | Heritage Commerce Corp 150 Almaden Blvd. San Jose CA 95113 | No | 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 | Acquisiton | 2015-08-31 | 2,500 | $10.52 | 9,200 | No | 4 | P | Indirect | Indirect by Spouse |
| Common | Acquisiton | 2015-08-31 | 2,500 | $10.54 | 80,129 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Indirect by Spouse |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 300 | Indirect | Indirect by Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Standard Employee Option - NSO | $23.85 | 2006-08-03 | 2016-08-03 | 0 | 3,300 | Direct |
| Common | Standard Employee Option - NSO | $23.89 | 2007-05-04 | 2017-05-04 | 0 | 5,000 | Direct |
| Common | Standard Employee Option - NSO | $5.16 | 2011-06-16 | 2021-06-16 | 0 | 384 | Direct |
| Common | Standard Employee Option - NSO | $6.39 | 2012-05-01 | 2022-05-01 | 0 | 5,500 | Direct |
| Common | Standard Employee Option - NSO | $6.57 | 2013-04-30 | 2023-04-30 | 0 | 6,050 | Direct |
| Common | Standard Employee Option - NSO | $7.43 | 2009-05-04 | 2019-05-04 | 0 | 5,500 | Direct |
| Common | Standard Employee Option - NSO | $8.07 | 2014-02-27 | 2024-02-27 | 0 | 6,050 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-08-03 | 0 | 3,300 | Direct |
| 2017-05-04 | 0 | 5,000 | Direct |
| 2021-06-16 | 0 | 384 | Direct |
| 2022-05-01 | 0 | 5,500 | Direct |
| 2023-04-30 | 0 | 6,050 | Direct |
| 2019-05-04 | 0 | 5,500 | Direct |
| 2024-02-27 | 0 | 6,050 | Direct |
Billionaire Hedge Funds
