SEC Form 4 · accession 0001053352-16-000121
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Eugene Benito
Officer — EVP
Period of report
May 18, 2016
Accepted (ET)
May 25, 2016 · 5:22 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 | May 18, 2016 | S | 540 | $10.00 | D | 0 | I | Indirect by Spouse |
| Common | holding | — | — | — | 28,600 | 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 - ISO | $23.89 | holding | — | — | — | May 4, 2007 | May 4, 2017 | Common | 0 | 155 | D |
| Standard Employee Option - NSO | $16.00 | holding | — | — | — | May 22, 2008 | May 22, 2018 | Common | 0 | 7,000 | D |
| Standard Employee Option - NSO | $23.85 | holding | — | — | — | Aug 3, 2006 | Aug 3, 2016 | Common | 0 | 5,000 | D |
| Standard Employee Option - NSO | $23.89 | holding | — | — | — | May 4, 2007 | May 4, 2017 | Common | 0 | 6,845 | D |
| Standard Employee Option - NSO | $3.57 | holding | — | — | — | Jul 26, 2010 | Jul 26, 2020 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common | 0 | 10,000 | D |
| Standard Employee Option - NSO | $7.43 | holding | — | — | — | May 4, 2009 | May 4, 2019 | Common | 0 | 4,500 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common | 0 | 12,500 | D |