Filing Details
- Accession Number:
- 0001140361-16-075170
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-08 15:22:18
- Reporting Period:
- 2016-08-04
- Filing Date:
- 2016-08-08
- Accepted Time:
- 2016-08-08 15:22:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1288758 | Alexander Simas | 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 | 2016-08-05 | 3,113 | $8.27 | 69,685 | No | 5 | A | Direct | |
| Common Stock | Acquisiton | 2015-08-04 | 2,500 | $8.39 | 66,572 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-08-04 | 4,000 | $8.23 | 64,072 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2016-08-05 | 3,113 | $8.27 | 0 | No | 4 | D | Indirect | Restricted Stock |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | A | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | D | Indirect | Restricted Stock |
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 | 13,375 | 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 | 13,375 | Direct |
| 2018-02-01 | 2,625 | 7,875 | Direct |
| 2017-11-01 | 5,250 | 5,250 | Direct |
Footnotes
- Vesting of restricted stock.
- This transaction was executed in multiple trades at prices ranging from $8.19 to $8.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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