SEC Form 4 · accession 0001046025-16-000272
HERITAGE FINANCIAL CORP /WA/ · HFWA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Pickering
Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 2:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001046025
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 12, 2016 | M | 1,864 | $15.12 | A | 59,085 | D | |
| Common Stock | holding | — | — | — | 4,062 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $15.12 | Dec 12, 2016 | M | 1,864 | D | May 1, 2014 | Apr 26, 2017 | Common Stock | 1,864 | 0 | D |
Explanation of responses
- F1Represents Washington Banking options that were converted into Heritage options, pursuant to the terms of the Merger Agreement.