SEC Form 4 · accession 0001140361-16-078894
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J. Behrman
Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 1:24 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 | Sep 1, 2016 | A | 3,101 | $8.06 | A | 3,101 | I | Restricted Stock |
| Common stock | holding | — | — | — | 91,036 | D |
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 | 12,625 | D |
| Stock option | $4.50 | holding | — | — | — | Feb 2, 2009 | Feb 2, 2019 | Common stock | 2,500 | 5,125 | D |
| Stock option | $11.48 | holding | — | — | — | Feb 1, 2008 | Feb 1, 2018 | Common stock | 2,625 | 2,625 | D |
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.