SEC Form 4 · accession 0001140361-15-001449
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Raver
Officer — EVP, General Counsel
Period of report
Jan 8, 2015
Accepted (ET)
Jan 12, 2015 · 4:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000921547
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Heritage Oaks Bancorp Common StockF1 | Jan 8, 2015 | P | 7,203 | $3.10 | A | 32,980 | D | |
| Heritage Oaks Bancorp Common StockF2 | Jan 8, 2015 | P | 1,904 | $5.73 | A | 34,884 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Heritage Oaks Bancorp Common StockF1 | $3.10 | Jan 8, 2015 | X | 7,203 | D | Sep 1, 2013 | Sep 1, 2020 | Heritage Oaks Bancorp Common Stock | 7,203 | 13,493 | D |
| Option to Purchase Heritage Oaks Bancorp Common StockF2 | $5.73 | Jan 8, 2015 | X | 1,904 | D | Sep 1, 2013 | Sep 1, 2022 | Heritage Oaks Bancorp Common Stock | 1,904 | 11,589 | D |
Explanation of responses
- F1Mr. Raver exercised an option to purchase 7,203 shares of Heritage Oaks Bancorp Common Stock at a price of $3.10 per share.
- F2Mr. Raver exercised an option to purchase 1,904 shares of Heritage Oaks Bancorp Common Stock at a price of $5.73 per share.