SEC Form 4 · accession 0001127602-17-016866
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L. Hallgrimson
Director
Period of report
May 2, 2017
Accepted (ET)
May 4, 2017 · 4:36 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 StockF1 | May 2, 2017 | A | 1,381 | $0.00 | A | 82,438 | D | |
| Common Stock | holding | — | — | — | 16,300 | I | Indirect By Other Beneficiary Type | |
| Common Stock | holding | — | — | — | 3,000 | I | Indirect By Spouse | |
| Common Stock | holding | — | — | — | 2,900 | I | Indirect By Trust | |
| Common Stock | holding | — | — | — | 2,000 | I | Personal IRA | |
| Common Stock | holding | — | — | — | 4,000 | I | Private Foundation | |
| Common Stock | holding | — | — | — | 3,500 | I | SEP IRA | |
| Common Stock | holding | — | — | — | 7,000 | I | With Son in an LLC | |
| Common Stock | holding | — | — | — | 3,000 | I | Owned 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 | $6.39 | holding | — | — | — | May 1, 2012 | May 1, 2022 | Common Stock | 1,172 | 1,172 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common Stock | 2,169 | 2,169 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock | 3,004 | 3,004 | D |
Explanation of responses
- F1Restricted stock award vests at the first anniversary of the grant date, subject to continuous employment with the Company.