SEC Form 4 · accession 0001140361-17-004401
HERITAGE OAKS BANCORP · HEOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Castle
Officer — Chief Financial Officer
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:45 pm EST
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 | Feb 1, 2017 | D | 1,569 | $13.44 | D | 11,610 | I | Restricted stock |
| Common stockF1 | Feb 1, 2017 | A | 1,569 | $13.44 | A | 6,046 | 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 | $7.50 | holding | — | — | — | Sep 1, 2016 | Sep 1, 2025 | Common stock | 14,732 | 14,732 | D |
| Stock option | $7.84 | holding | — | — | — | Mar 2, 2016 | Mar 2, 2025 | Common stock | 6,919 | 6,919 | D |
| Stock option | $7.01 | holding | — | — | — | Sep 2, 2015 | Sep 2, 2024 | Common stock | 10,037 | 10,037 | D |
| Stock option | $7.75 | holding | — | — | — | Mar 1, 2015 | Mar 1, 2024 | Common stock | 2,490 | 2,490 | D |
| Stock option | $7.65 | holding | — | — | — | Feb 1, 2015 | Feb 1, 2024 | Common stock | 10,082 | 10,082 | D |
Explanation of responses
- F1Vesting of restricted stock award. Change from indirect to direct beneficial ownership. Taxes paid by executive.