SEC Form 4 · accession 0001127602-19-011337
HERITAGE COMMERCE CORP · HTBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ranson W Webster
Director
Period of report
Mar 12, 2019
Accepted (ET)
Mar 14, 2019 · 1:54 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, No Par Value | Mar 12, 2019 | M | 3,500 | $7.43 | A | 603,858 | D | |
| Common Stock, No Par Value | holding | — | — | — | 4,560 | I | Indirect By Other Beneficiary Type | |
| Common Stock, No Par Value | holding | — | — | — | 2,733 | I | Indirect By Son Or Daughter | |
| Common Stock, No Par Value | holding | — | — | — | 1,200 | I | Indirect By Trust |
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 | $7.43 | Mar 12, 2019 | M | 3,500 | D | May 4, 2009 | May 4, 2019 | Common Stock, No Par Value | 3,500 | 0 | D |
| Standard Employee Option - NSO | $3.57 | holding | — | — | — | Jul 26, 2010 | Jul 26, 2020 | Common Stock, No Par Value | 3,500 | 3,500 | D |
| Standard Employee Option - NSO | $5.16 | holding | — | — | — | Jun 16, 2011 | Jun 16, 2021 | Common Stock, No Par Value | 4,500 | 4,500 | D |
| Standard Employee Option - NSO | $6.39 | holding | — | — | — | May 1, 2012 | May 1, 2022 | Common Stock, No Par Value | 4,500 | 4,500 | D |
| Standard Employee Option - NSO | $6.57 | holding | — | — | — | Apr 30, 2013 | Apr 30, 2023 | Common Stock, No Par Value | 4,500 | 4,500 | D |
| Standard Employee Option - NSO | $8.07 | holding | — | — | — | Feb 27, 2014 | Feb 27, 2024 | Common Stock, No Par Value | 4,500 | 4,500 | D |