SEC Form 4 · accession 0001140361-15-029969
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard Gould
Director
Period of report
Aug 3, 2015
Accepted (ET)
Aug 5, 2015 · 3:54 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Aug 3, 2015 | A | 3,113 | $8.03 | A | 3,113 | I | Please see note (1) |
| Common stockF2,F3 | holding | — | — | — | 5,876,607 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares granted pursuant to the Company's 2015 Equity Incentive Plan. The shares vest 100% one year from the grant date. The shares are subject to forfeiture.
- F2Reporting person by virtue of being a managing member of Carpenter Fund Manager GL, LLP ("Manager"), the general partner of each of Carpenter Community BancFund-A, LP ("Fund A"), Carpenter Community BancFund, LP ("Fund LP"), and Carpenter Community BancFund-CA LP ("Fund CA", the "Funds"), may be deemed to beneficially own shares held by the Funds, but disclaims beneficial ownership thereof.
- F3Fund LP is the record holder of 193,066 shares, Fund A is the record holder of 5,491,752 shares, and Fund CA is the record holder of 188,198 shares.