SEC Form 4 · accession 0001127602-18-034322
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack W Conner
Director
Period of report
Nov 21, 2018
Accepted (ET)
Nov 26, 2018 · 6:10 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 Stock, No Par Value | Nov 21, 2018 | P | 1,755 | $14.2006 | A | 70,511 | D | |
| Common Stock, No Par Value | Nov 21, 2018 | P | 1,758 | $14.2679 | A | 13,015 | 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, No Par Value | 253 | 253 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock, No Par Value | 1,514 | 1,514 | D |