SEC Form 4 · accession 0001140361-16-078958

HERITAGE OAKS BANCORP · HEOP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Sep 1, 2016

Accepted (ET)

Sep 6, 2016 · 5:09 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 stock^F1,F2	Sep 1, 2016	A	2,636	$8.06	A	3,173,722	I	FBO Patriot Financial Partners, LP
Common stock^F1,F2	Sep 1, 2016	A	465	$8.06	A	548,303	I	FBO Patriot Financial Partners Parallel LP

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	6,395	7,500	I
Stock option	$3.10	holding	—	—	—	Sep 1, 2010	Sep 1, 2020	Common stock	1,105	1,105	I

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.
F2Patriot Financial Partners, G.P., L.P. ("Patriot GP") is a general partner of Patriot Financial Partners, L.P. and Patriot Financial Partners Parallel, L.P. (together, the "Funds). Accordingly, securities owned by the Funds may be regarded as being beneficially owned by Patriot GP. Patriot Financial Partners GP, LLC ("Patriot LLC") is the general partner of Patriot GP. Accordingly, securities owned or deemed to be owned by Patriot GP may be regarded as being beneficially owned by Patriot LLC. Mr. Lynch is a general partner of the Funds and Patriot GP and a member of Patriot LLC. Mr. Lynch disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.