SEC Form 4 · accession 0001140361-16-075170
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander Simas
Director
Period of report
Aug 4, 2016
Accepted (ET)
Aug 8, 2016 · 3:22 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 5, 2016 | A | 3,113 | $8.27 | A | 69,685 | D | |
| Common stockF2 | Aug 4, 2015 | P | 2,500 | $8.3935 | A | 66,572 | D | |
| Common stock | Aug 4, 2016 | P | 4,000 | $8.2253 | A | 64,072 | D | |
| Common stockF1 | Aug 5, 2016 | D | 3,113 | $8.27 | D | 0 | I | Restricted Stock |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option | $3.10 | holding | — | — | — | Sep 1, 2010 | Sep 1, 2020 | Common stock | 7,500 | 17,875 | D |
| Stock option | $4.50 | holding | — | — | — | Feb 2, 2009 | Feb 2, 2019 | Common stock | 2,500 | 13,375 | D |
| Stock option | $11.48 | holding | — | — | — | Feb 1, 2008 | Feb 1, 2018 | Common stock | 2,625 | 7,875 | D |
| Stock option | $15.24 | holding | — | — | — | Nov 1, 2007 | Nov 1, 2017 | Common stock | 5,250 | 5,250 | D |
Explanation of responses
- F1Vesting of restricted stock.
- F2This transaction was executed in multiple trades at prices ranging from $8.19 to $8.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.