SEC Form 4 · accession 0001127602-18-017268
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Conner
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 12:28 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 10, 2018 | S | 23,000 | $16.9766 | D | 61,812 | D | |
| Common Stock | holding | — | — | — | 7,783 | 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 | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common Stock | 253 | 253 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock | 1,514 | 1,514 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.8600 to $17.0700, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.