Filing Details
- Accession Number:
- 0001127602-17-010484
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-06 18:53:21
- Reporting Period:
- 2017-03-02
- Filing Date:
- 2017-03-06
- Accepted Time:
- 2017-03-06 18:53:21
- 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 | 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 | 2017-03-02 | 5,500 | $7.43 | 100,713 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-03-02 | 384 | $5.16 | 101,097 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-03-02 | 5,000 | $6.39 | 106,097 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-03-02 | 500 | $6.39 | 106,597 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-03-02 | 5,797 | $6.57 | 112,394 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-03-02 | 4,536 | $8.07 | 116,930 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-03-02 | 10,833 | $14.14 | 106,097 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 5,500 | $0.00 | 5,500 | $7.43 |
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 384 | $0.00 | 384 | $5.16 |
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 5,000 | $0.00 | 5,000 | $6.39 |
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 500 | $0.00 | 500 | $6.39 |
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 5,797 | $0.00 | 5,797 | $6.57 |
Common Stock | Standard Employee Option - NSO | Disposition | 2017-03-02 | 4,536 | $0.00 | 4,536 | $8.07 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2009-05-04 | 2019-05-04 | No | 4 | M | Direct |
0 | 2011-06-16 | 2021-06-16 | No | 4 | M | Direct |
500 | 2012-05-01 | 2022-05-01 | No | 4 | M | Direct |
0 | 2012-05-01 | 2022-05-01 | No | 4 | M | Direct |
253 | 2013-04-30 | 2023-04-30 | No | 4 | M | Direct |
1,514 | 2014-02-27 | 2024-02-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 7,783 | Indirect | Indirect By Spouse |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Standard Employee Option - NSO | $23.89 | 2007-05-04 | 2017-05-04 | 5,000 | 5,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-05-04 | 5,000 | 5,000 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.0800 to $14.2200, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.