Filing Details
- Accession Number:
- 0001140361-17-006377
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2017-02-13 20:47:41
- Reporting Period:
- 2016-12-31
- Filing Date:
- 2017-02-13
- Accepted Time:
- 2017-02-13 20:47:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 921547 | Heritage Oaks Bancorp | HEOP | State Commercial Banks (6022) | 770388249 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1310300 | J Daniel Ohare | 1222 Vine Street Paso Robles CA 93446 | 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 | 2016-02-29 | 269 | $7.71 | 44,490 | No | 5 | P | Direct | |
| Common Stock | Acquisiton | 2016-05-31 | 248 | $8.04 | 44,490 | No | 5 | P | Direct | |
| Common Stock | Acquisiton | 2016-08-31 | 245 | $8.21 | 44,490 | No | 5 | P | Direct | |
| Common Stock | Acquisiton | 2016-02-29 | 280 | $7.35 | 20,354 | No | 5 | P | Indirect | (2) |
| Common Stock | Acquisiton | 2016-05-31 | 165 | $8.04 | 20,354 | No | 5 | P | Indirect | (2) |
| Common Stock | Acquisiton | 2016-08-31 | 147 | $8.21 | 20,354 | No | 5 | P | Indirect | (2) |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | P | Direct | |
| No | 5 | P | Direct | |
| No | 5 | P | Direct | |
| No | 5 | P | Indirect | (2) |
| No | 5 | P | Indirect | (2) |
| No | 5 | P | Indirect | (2) |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,101 | Indirect | Restricted stock |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock option | $3.10 | 2010-09-01 | 2020-09-01 | 7,500 | 17,875 | Direct |
| Common Stock | Stock option | $4.50 | 2009-02-02 | 2019-02-02 | 2,500 | 10,375 | Direct |
| Common Stock | Stock option | $11.48 | 2008-02-01 | 2018-02-01 | 2,625 | 7,875 | Direct |
| Common Stock | Stock option | $15.24 | 2007-11-01 | 2017-11-01 | 5,250 | 5,250 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-09-01 | 7,500 | 17,875 | Direct |
| 2019-02-02 | 2,500 | 10,375 | Direct |
| 2018-02-01 | 2,625 | 7,875 | Direct |
| 2017-11-01 | 5,250 | 5,250 | Direct |
Footnotes
- Acquired pursuant to IRA dividend reinvestment plan. Shares are rounded to the nearest whole share.
- Acquired pursuant to a dividend reinvestment plan. GBP&B Tax & Business Service Inc. 401(k) Daniel J. O'Hare & Allen E. Eschenbach Trustees.
- Daniel J. O'Hare directly owns 44,490 shares, including 33,732 shares in an individual 401(k) account. His aggregate beneficial ownership is 67,945 shares
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