SEC Form 4 · accession 0001127602-16-060856
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Conner
Director
Period of report
Aug 19, 2016
Accepted (ET)
Aug 22, 2016 · 5:23 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 Stock | Aug 19, 2016 | S | 300 | $11.54 | D | 0 | I | Indirect By Trust |
| Common Stock | holding | — | — | — | 89,213 | D | ||
| Common Stock | holding | — | — | — | 13,783 | 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 | $23.89 | holding | — | — | — | May 4, 2007 | May 4, 2017 | Common Stock | 5,000 | 5,000 | D |
| Standard Employee Option - NSO | $7.43 | holding | — | — | — | May 4, 2009 | May 4, 2019 | Common Stock | 5,500 | 5,500 | D |
| Standard Employee Option - NSO | $5.16 | holding | — | — | — | Jun 16, 2011 | Jun 16, 2021 | Common Stock | 384 | 384 | D |
| Standard Employee Option - NSO | $6.39 | holding | — | — | — | May 1, 2012 | May 1, 2022 | Common Stock | 5,500 | 5,500 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common Stock | 6,050 | 6,050 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock | 6,050 | 6,050 | D |