Filing Details
- Accession Number:
- 0001053352-15-000005
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2015-02-12 12:28:39
- Reporting Period:
- 2014-12-22
- Filing Date:
- 2015-02-12
- Accepted Time:
- 2015-02-12 12:28:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1053352 | Heritage Commerce Corp | HTBK | State Commercial Banks (6022) | 770469558 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1522757 | L. Steven Hallgrimson | 150 Almaden Blvd. San Jose CA 95113 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common | Acquisiton | 2011-11-22 | 1,000 | $4.47 | 71,700 | No | 4 | P | Direct | |
| Common | Disposition | 2014-12-22 | 1,000 | $8.78 | 16,300 | No | 4 | S | Indirect | Indirect by Other Beneficiary Type |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | S | Indirect | Indirect by Other Beneficiary Type |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 4,000 | Indirect | Private Foundation |
| Common | 7,000 | Indirect | with Son in an LLC |
| Common | 3,000 | Indirect | Owned by Spouse |
| Common | 3,500 | Indirect | SEP IRA |
| Common | 2,000 | Indirect | Personal IRA |
| Common | 3,300 | Indirect | Indirect by Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Standard Employee Option - NSO | $6.39 | 2012-05-01 | 2022-05-01 | 0 | 4,000 | Direct |
| Common | Standard Employee Option - NSO | $6.57 | 2013-04-30 | 2023-04-30 | 0 | 4,000 | Direct |
| Common | Standard Employee Option - NSO | $8.07 | 2014-02-27 | 2024-02-27 | 0 | 4,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-05-01 | 0 | 4,000 | Direct |
| 2023-04-30 | 0 | 4,000 | Direct |
| 2024-02-27 | 0 | 4,000 | Direct |
Footnotes
- The transaction was made on behalf of the reporting person in a discretionary account.
- This purchase occurred on 11/22/2011 which should be reported.
Billionaire Hedge Funds
