SEC Form 4 · accession 0001140361-16-078899
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C Fugate
Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 1:55 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 | — | — | — | 11,828 | I | Mark Colt Fugate IRA | |
| Common stock | holding | — | — | — | 10,759 | D | ||
| Common stockF2 | holding | — | — | — | 105,441 | I | Please see note (2) | |
| Common stock | holding | — | — | — | 1,082 | I | Stephanie Fugate IRA |
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 | 10,375 | 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
- 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.
- F2Mark C. Fugate is custodian for Andrew A. Dalmau, Michelle Dalmau, Natalie Dalmau, Bethany Fugate, Kathryn Fugate, Timothy Fugate, Kelsey Lahr, and Miranda Lahr, minors under the California Uniform Transfers to Minors Act; Mr. Fugate also has an interest in the 2008 Fugate Family Trust, (combined indirect shares total 105,441).