SEC Form 4 · accession 0001053352-15-000007
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Conner
Director
Period of report
Mar 5, 2015
Accepted (ET)
Mar 9, 2015 · 1:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001053352
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | Mar 5, 2015 | M | 4,500 | $8.44 | A | 81,113 | D | |
| Common | Mar 5, 2015 | M | 5,116 | $8.44 | A | 81,113 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Standard Employee Option - NSO | $3.57 | Mar 5, 2015 | X | 4,500 | D | Jul 26, 2010 | Jul 26, 2020 | Common | 4,500 | 0 | D |
| Standard Employee Option - NSO | $5.16 | Mar 5, 2015 | X | 5,116 | D | Jun 16, 2011 | Jun 16, 2021 | Common | 5,116 | 384 | D |