FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/28/2014 |
3. Issuer Name and Ticker or Trading Symbol
HERITAGE OAKS BANCORP [ [HEOP] ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 5,491,752 | D | |
Common Stock(1) | 5,873,016(2) | I | See footnote 2. |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Shares acquired pursuant to an Agreement and Plan of Merger, dated as of October 21, 2013 (the "Agreement") between Issuer and Mission Community Bancorp ("Mission"). Pursuant to the Agreement, holders of Mission common stock received 0.8477 shares (the "Shares") of Issuer's common stock for each share of Mission common stock held immediately prior to the effective time of the Merger, plus cash in lieu of fractional shares. |
2. By Carpenter Fund Manager GP, LLC ("Manager"). Reporting Person is the record holder of 5,491,752 Shares, Carpenter Community BancFund, L.P. is the record holder of 193,066 Shares, Carpenter Community BancFund-CA, LP (collectively, the "Funds") is the record holder of 188,198 Shares. As the general partner of each of the Funds, Manager is deemed to beneficially own 5,873,016 Shares but disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein. |
/s/ James B. Jones, Secretary | 03/11/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |