Filing Details
- Accession Number:
- 0001140361-16-070288
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-20 11:50:21
- Reporting Period:
- 2016-06-16
- Filing Date:
- 2016-06-20
- Accepted Time:
- 2016-06-20 11:50:21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 921547 | Heritage Oaks Bancorp | HEOP | State Commercial Banks (6022) | 770388249 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1315950 | C Mark Fugate | 1222 Vine Street Paso Robles CA 93446 | Yes | 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 Stock | Acquisiton | 2016-06-16 | 500 | $7.66 | 11,828 | No | 4 | P | Indirect | Mark Colt Fugate IRA |
| Common Stock | Acquisiton | 2016-06-16 | 500 | $7.59 | 105,441 | No | 4 | P | Indirect | Please see note (2) |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Mark Colt Fugate IRA |
| No | 4 | P | Indirect | Please see note (2) |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,113 | Indirect | Restricted (1) |
| Common Stock | 7,646 | Direct | |
| Common Stock | 1,082 | Indirect | Stephanie Fugate IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock option | $3.10 | 2010-09-01 | 2020-09-01 | 7,500 | 17,875 | Direct |
| Common Stock | Stock option | $4.50 | 2009-02-02 | 2019-02-02 | 2,500 | 10,375 | Direct |
| Common Stock | Stock option | $11.48 | 2008-02-01 | 2018-02-01 | 2,625 | 7,875 | Direct |
| Common Stock | Stock option | $15.24 | 2007-11-01 | 2017-11-01 | 5,250 | 5,250 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-09-01 | 7,500 | 17,875 | Direct |
| 2019-02-02 | 2,500 | 10,375 | Direct |
| 2018-02-01 | 2,625 | 7,875 | Direct |
| 2017-11-01 | 5,250 | 5,250 | Direct |
Footnotes
- Restricted 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.
- Mark C. Fugate is custodian for Andrew A. Dalmau, Michelle Dalmau, Natalie Dalmau, Bethany Fugate, Kathryn Fugate, Timothy Fugate, Kelsey Lahr, and Miranda Lahr, minors under the California Uniform Transfers to Minors Act; Mr. Fugate also has an interest in the 2008 Fugate Family Trust, (combined indirect shares total 105,441).
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