SEC Form 4 · accession 0001140361-16-078916
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander Simas
Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 3:19 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 | — | — | — | 69,685 | 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 | 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
- F1Vesting of restricted stock.