0001053352-16-000112.txt : 20160505 0001053352-16-000112.hdr.sgml : 20160505 20160505164541 ACCESSION NUMBER: 0001053352-16-000112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160503 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 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: EGGEMEYER JOHN M III CENTRAL INDEX KEY: 0001197257 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161624575 MAIL ADDRESS: STREET 1: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-05-03 0001053352 HERITAGE COMMERCE CORP HTBK 0001197257 EGGEMEYER JOHN M III PO BOX 1329 RANCHO SANTA FE CA 92067 true Common 2016-05-03 4 A false 1934 0 A 28002 I Indirect by Partnership Common 1284000 I Indirect by Partnership Right Offering - NSO 3.75 2010-08-26 2020-08-26 Series C Preferred Stock 0 3456000 D Standard Employee Option - NSO 5.16 2011-06-16 2021-06-16 Common 0 4000 D Standard Employee Option - NSO 6.39 2012-05-01 2022-05-01 Common 0 4000 D Standard Employee Option - NSO 6.57 2013-04-30 2023-04-30 Common 0 4000 D Standard Employee Option - NSO 8.07 2014-02-27 2024-02-27 Common 0 4000 D The securities are held by Castle Creek Capital Partners IV, LP ("Fund IV"). Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer 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. Restricted stock vests 25% each year on an annualized basis. The Series C Preferred Stock is automatically convertible following the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. Debbie Reuter in Attorney in fact for John Eggemeyer III 2016-05-05