Filing Details
- Accession Number:
- 0001127602-19-020051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-28 18:25:45
- Reporting Period:
- 2019-05-24
- Accepted Time:
- 2019-05-28 18:25:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1522757 | L. Steven Hallgrimson | 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, No Par Value | Acquisiton | 2019-05-24 | 700 | $12.16 | 4,700 | No | 4 | P | Indirect | Private Foundation |
| Common Stock, No Par Value | Acquisiton | 2019-05-24 | 100 | $12.15 | 4,800 | No | 4 | P | Indirect | Private Foundation |
| Common Stock, No Par Value | Acquisiton | 2019-05-24 | 200 | $12.17 | 5,000 | No | 4 | P | Indirect | Private Foundation |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Private Foundation |
| No | 4 | P | Indirect | Private Foundation |
| No | 4 | P | Indirect | Private Foundation |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, No Par Value | 92,889 | Direct | |
| Common Stock, No Par Value | 5,300 | Indirect | Indirect By Other Beneficiary Type |
| Common Stock, No Par Value | 3,000 | Indirect | Indirect By Spouse |
| Common Stock, No Par Value | 2,900 | Indirect | Indirect By Trust |
| Common Stock, No Par Value | 2,000 | Indirect | Personal IRA |
| Common Stock, No Par Value | 3,500 | Indirect | SEP IRA |
| Common Stock, No Par Value | 7,000 | Indirect | With Son in an LLC |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, No Par Value | Standard Employee Option - NSO | $6.39 | 2012-05-01 | 2022-05-01 | 1,172 | 1,172 | Direct |
| Common Stock, No Par Value | Standard Employee Option - NSO | $6.57 | 2013-04-30 | 2023-04-30 | 2,169 | 2,169 | Direct |
| Common Stock, No Par Value | Standard Employee Option - NSO | $8.07 | 2014-02-27 | 2024-02-27 | 3,004 | 3,004 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-05-01 | 1,172 | 1,172 | Direct |
| 2023-04-30 | 2,169 | 2,169 | Direct |
| 2024-02-27 | 3,004 | 3,004 | Direct |
Billionaire Hedge Funds
