SEC Form 4 · accession 0001053352-16-000086
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Conner
Director
Period of report
Feb 2, 2016
Accepted (ET)
Feb 4, 2016 · 12:32 pm EST
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 | Feb 2, 2016 | P | 2,083 | $9.57 | A | 13,783 | I | Indirect by Spouse |
| Common | Feb 2, 2016 | P | 4,166 | $9.5738 | A | 86,795 | D | |
| Common | holding | — | — | — | 300 | I | Indirect by Trust |
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 | $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 | 5,000 | D |
| Standard Employee Option - NSO | $5.16 | holding | — | — | — | Jun 16, 2011 | Jun 16, 2021 | Common | 0 | 384 | D |
| Standard Employee Option - NSO | $6.39 | holding | — | — | — | May 1, 2012 | May 1, 2022 | Common | 0 | 5,500 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common | 0 | 6,050 | D |
| Standard Employee Option - NSO | $7.43 | holding | — | — | — | May 4, 2009 | May 4, 2019 | Common | 0 | 5,500 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common | 0 | 6,050 | D |