Filing Details

Accession Number:
0001127602-17-010484
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-06 18:53:21
Reporting Period:
2017-03-02
Filing Date:
2017-03-06
Accepted Time:
2017-03-06 18:53:21
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
1305150 W Jack Conner Heritage Commerce Corp
150 Almaden Blvd.
San Jose CA 95113
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 2017-03-02 5,500 $7.43 100,713 No 4 M Direct
Common Stock Acquisiton 2017-03-02 384 $5.16 101,097 No 4 M Direct
Common Stock Acquisiton 2017-03-02 5,000 $6.39 106,097 No 4 M Direct
Common Stock Acquisiton 2017-03-02 500 $6.39 106,597 No 4 M Direct
Common Stock Acquisiton 2017-03-02 5,797 $6.57 112,394 No 4 M Direct
Common Stock Acquisiton 2017-03-02 4,536 $8.07 116,930 No 4 M Direct
Common Stock Disposition 2017-03-02 10,833 $14.14 106,097 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 5,500 $0.00 5,500 $7.43
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 384 $0.00 384 $5.16
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 5,000 $0.00 5,000 $6.39
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 500 $0.00 500 $6.39
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 5,797 $0.00 5,797 $6.57
Common Stock Standard Employee Option - NSO Disposition 2017-03-02 4,536 $0.00 4,536 $8.07
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-05-04 2019-05-04 No 4 M Direct
0 2011-06-16 2021-06-16 No 4 M Direct
500 2012-05-01 2022-05-01 No 4 M Direct
0 2012-05-01 2022-05-01 No 4 M Direct
253 2013-04-30 2023-04-30 No 4 M Direct
1,514 2014-02-27 2024-02-27 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,783 Indirect Indirect By Spouse
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Standard Employee Option - NSO $23.89 2007-05-04 2017-05-04 5,000 5,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-05-04 5,000 5,000 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.0800 to $14.2200, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.