SEC Form 5 · accession 0001140361-17-006377

HERITAGE OAKS BANCORP · HEOP

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

Reporting owner

Director

Period of report

Dec 31, 2016

Accepted (ET)

Feb 13, 2017 · 8:47 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 stock^F1,F3	Feb 29, 2016	P	269	$7.71	A	44,490	D
Common stock^F1,F3	May 31, 2016	P	248	$8.042	A	44,490	D
Common stock^F1,F3	Aug 31, 2016	P	245	$8.212	A	44,490	D
Common stock^F1,F2,F3	Feb 29, 2016	P	280	$7.346	A	20,354	I	(2)
Common stock^F1,F2,F3	May 31, 2016	P	165	$8.042	A	20,354	I	(2)
Common stock^F1,F2,F3	Aug 31, 2016	P	147	$8.212	A	20,354	I	(2)
Common stock	holding	—	—		—	3,101	I	Restricted stock

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

F1Acquired pursuant to IRA dividend reinvestment plan. Shares are rounded to the nearest whole share.
F2Acquired pursuant to a dividend reinvestment plan. GBP&B Tax & Business Service Inc. 401(k) Daniel J. O'Hare & Allen E. Eschenbach Trustees.
F3Daniel J. O'Hare directly owns 44,490 shares, including 33,732 shares in an individual 401(k) account. His aggregate beneficial ownership is 67,945 shares