SEC Form 4 · accession 0001127602-19-003142
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Roden
Director
Period of report
Jan 29, 2019
Accepted (ET)
Jan 31, 2019 · 11:44 am 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 | Jan 29, 2019 | M | 1,300 | $6.39 | A | 17,573 | 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 - NSO | $6.39 | Jan 29, 2019 | M | 1,300 | D | May 1, 2012 | May 1, 2022 | Common Stock, No Par Value | 1,300 | 2,700 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common Stock, No Par Value | 4,000 | 4,000 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock, No Par Value | 4,000 | 4,000 | D |