SEC Form 4 · accession 0001053352-15-000013
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Toeniskoetter
Director
Period of report
Apr 24, 2015
Accepted (ET)
Apr 27, 2015 · 12:59 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 | Apr 24, 2015 | M | 3,500 | $9.06 | A | 14,500 | I | Indirect by Trust |
| Common | holding | — | — | — | 1,250 | D | ||
| Common | holding | — | — | — | 150 | I | Indirect by Spouse |
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 | Apr 24, 2015 | X | 3,500 | D | Jul 26, 2010 | Jul 26, 2020 | Common | 3,500 | 0 | D |
| Standard Employee Option - NSO | $18.01 | holding | — | — | — | May 26, 2005 | May 26, 2015 | Common | 0 | 2,500 | D |
| Standard Employee Option - NSO | $23.85 | holding | — | — | — | Aug 3, 2006 | Aug 3, 2016 | Common | 0 | 3,300 | D |
| Standard Employee Option - NSO | $23.89 | holding | — | — | — | May 4, 2007 | May 4, 2017 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $5.16 | holding | — | — | — | Jun 16, 2011 | Jun 16, 2021 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $6.39 | holding | — | — | — | May 1, 2012 | May 1, 2022 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $7.43 | holding | — | — | — | May 4, 2009 | May 4, 2019 | Common | 0 | 3,500 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common | 0 | 4,500 | D |