0001127602-16-061616.txt : 20160831 0001127602-16-061616.hdr.sgml : 20160831 20160831182540 ACCESSION NUMBER: 0001127602-16-061616 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160830 FILED AS OF DATE: 20160831 DATE AS OF CHANGE: 20160831 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161864196 MAIL ADDRESS: STREET 1: PATRIOT FINANCIAL PARTNERS, LP STREET 2: 2929 ARCH STREET, 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-08-30 0001053352 HERITAGE COMMERCE CORP HTBK 0000949197 WYCOFF W KIRK PATRIOT FINANCIAL PARTNERS, LP 2929 ARCH STREET, 27TH FLOOR PHILADELPHIA PA 19104 1 Common Stock 2016-08-30 4 S 0 85270 11.5542 D 2046162 I Indirect By Partnership Common Stock 2016-08-30 4 S 0 14730 11.5542 D 352540 I Indirect By Partnership Series C Preferred Stock 3.75 2010-08-26 2020-08-26 Heritage Commerce Corp - Common Stock 2145000 2145000 I Indirect by Partnership Standard Employee Option - NSO 5.16 2011-06-16 2021-06-16 Common Stock 4000 4000 D Standard Employee Option - NSO 6.39 2012-05-01 2022-05-01 Common Stock 4000 4000 D Standard Employee Option - NSO 6.57 2013-04-30 2023-04-30 Common Stock 4000 4000 D Standard Employee Option - NSO 8.07 2014-02-27 2024-02-27 Common Stock 4000 4000 D Transaction of Patriot Financial Partners, L.P. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.5000 to $11.8500, 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 (2) to this Form 4. The securities are held by Patriot Financial Partners, L.P. (the "Patriot Fund") and 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. Transaction of Patriot Financial Partners Parallel, L.P. 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 as Attorney in fact for Kirk Wycoff 2016-08-31