0000945111-16-000002.txt : 20160927 0000945111-16-000002.hdr.sgml : 20160927 20160926192911 ACCESSION NUMBER: 0000945111-16-000002 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20160927 DATE AS OF CHANGE: 20160926 EFFECTIVENESS DATE: 20160927 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE COMMERCE CORP CENTRAL INDEX KEY: 0001053352 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770469558 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-271326 FILM NUMBER: 161903156 BUSINESS ADDRESS: STREET 1: 150 ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 4089476900 MAIL ADDRESS: STREET 1: 150 ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 D 1 primary_doc.xml X0707 D LIVE 0001053352 HERITAGE COMMERCE CORP 150 ALMADEN BOULEVARD SAN JOSE CA CALIFORNIA 95113 4089476900 CALIFORNIA None None Corporation true Frank G. Bisceglia 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Jack W. Conner 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director John Eggemeyer 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director J. Philip DiNapoli 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Steven L. Hallgrimson 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Walter T. Kaczmarek 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Executive Officer Director Julianne M. Biagini-Komas 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Lawrence D. McGovern 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Executive Officer Robert T. Moles 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Laura Roden 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Ranson W. Webster 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Walter Kirk Wycoff 150 Almaden Boulevard San Jose CA CALIFORNIA 95113 Director Commercial Banking $25,000,001 - $100,000,000 06b false 2016-09-12 false true false Exchange of 21,003.75 shares of Issuer's Series C convertible perpetual preferred stock for 5,601,000 shares of Issuer's common stock (Exemption Section 3(a)(9) and 18(b)(4) of 33 Act) 0 63739380 63739380 0 Amount based on the NASDAQ closing price on September 12, 2016 for Issuer. Issuer received no cash proceeds as a result of the exchange for Series C convertible perpetual preferred stock for Issuer's common stock false 3 0 0 0 false HERITAGE COMMERCE CORP /s/ Deborah K. Reuter Deborah K. Reuter Corporate Secretary 2016-09-23