0001127602-16-062271.txt : 20160908
0001127602-16-062271.hdr.sgml : 20160908
20160908170820
ACCESSION NUMBER: 0001127602-16-062271
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160907
FILED AS OF DATE: 20160908
DATE AS OF CHANGE: 20160908
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: 161876982
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
2016-09-07
0001053352
HERITAGE COMMERCE CORP
HTBK
0000949197
WYCOFF W KIRK
PATRIOT FINANCIAL PARTNERS, LP
2929 ARCH STREET, 27TH FLOOR
PHILADELPHIA
PA
19104
1
Common Stock
2016-09-07
4
S
0
511
11.50
D
1961293
I
Indirect By Partnership
Common Stock
2016-09-07
4
S
0
89
11.50
D
337879
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 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
2016-09-08