-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, J4a8S+TGGHy1hyX1oM9JUDUZIcy677dljV2z5bYbEY5kfh7GDScUNWSI6hzyxA96 hYw5BQrwCAwCJSe5t4D6VQ== 0001053352-10-000050.txt : 20100902 0001053352-10-000050.hdr.sgml : 20100902 20100902170731 ACCESSION NUMBER: 0001053352-10-000050 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100826 FILED AS OF DATE: 20100902 DATE AS OF CHANGE: 20100902 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WYCOFF W KIRK CENTRAL INDEX KEY: 0000949197 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 101055593 MAIL ADDRESS: STREET 1: PATRIOT FINANCIAL PARTNERS, LP STREET 2: 2929 ARCH STREET, 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 3 1 edgardoc.xml PRIMARY DOCUMENT X0203 3 2010-08-26 0 0001053352 HERITAGE COMMERCE CORP HTBK 0000949197 WYCOFF W KIRK 150 ALMADEN BLVD. SAN JOSE CA 95113 1 0 0 0 Series B Preferred Stock 3.75 Heritage Commerce Corp - Common Stock 2595000 I by Partnership Series C Preferred Stock 3.75 Heritage Commerce Corp - Common Stock 2145000 I by Partnership The Series B Preferred Stock is automatically convertible upon receipt shareholder approval of the conversion. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. The Series B Preferred Stock is automatically convertible upon receipt shareholder approval of the conversion. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. 2,213,000 of the securities are held by Patriot Financial Partners, L.P. (the "Patriot Fund"), and 382,000 shares of the of the securities are held by Patriot Financial Partners Parallel, L.P. (the "Patriot Parallel Fund," together with the Patriot Fund, the "Funds"). Patriot Financial Partners, GP, L.P. ("Patriot GP") is a general partner of each of the Funds, and Patriot Financial Partners, GP, LLC ("Patriot LLC") is a general partner of Patriot GP. In addition, W. Kirk Wycoff is a general partner of the Funds and Patriot GP and a member of Patriot LLC. Accordingly, securities owned by the Funds may be regarded as being beneficially owned by Patriot GP, Patriot LLC and W. Kirk Wycoff. Mr. Wycoff disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16. The Series C Preferred Stock is automatically convertible following (i) the receipt of shareholder approval of the conversion and, thereafter (ii) the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. The Series C Preferred Stock is automatically convertible following (i) the receipt of shareholder approval of the conversion and, thereafter (ii) the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. 1,829,000 of the securities are held by Patriot Financial Partners, L.P. (the "Patriot Fund"), and 316,000 shares of the securities are held by Patriot Financial Partners Parallel, L.P. (the "Patriot Parallel Fund," together with the Patriot Fund, the "Funds"). Patriot Financial Partners, GP, L.P. ("Patriot GP") is a general partner of each of the Funds, and Patriot Financial Partners, GP, LLC ("Patriot LLC") is a general partner of Patriot GP. In addition, W. Kirk Wycoff is a general partner of the Funds and Patriot GP and a member of Patriot LLC. Accordingly, securities owned by the Funds may be regarded as being beneficially owned by Patriot GP, Patriot LLC and W. Kirk Wycoff. Mr. Wycoff disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16. By: Debbie Reuter as Attorney in Fact For: W. Kirk Wycoff 2010-09-02 -----END PRIVACY-ENHANCED MESSAGE-----