0001127602-19-007221.txt : 20190220 0001127602-19-007221.hdr.sgml : 20190220 20190220164553 ACCESSION NUMBER: 0001127602-19-007221 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190211 FILED AS OF DATE: 20190220 DATE AS OF CHANGE: 20190220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moles Robert CENTRAL INDEX KEY: 0001305222 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 19618899 MAIL ADDRESS: STREET 1: HERITAGE COMMERCE CORP STREET 2: 150 ALMADEN BLVD. CITY: SAN JOSE STATE: CA ZIP: 95113 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-02-11 0001053352 HERITAGE COMMERCE CORP HTBK 0001305222 Moles Robert HERITAGE COMMERCE CORP 150 ALMADEN BLVD. SAN JOSE CA 95113 1 Common Stock, No Par Value 2019-02-11 4 S 0 40000 13.385 D 41782 D Common Stock, No Par Value 2019-02-12 4 S 0 9900 13.5389 D 31882 D Common Stock, No Par Value 18295 I Indirect By Spouse Standard Employee Option - NSO 3.57 2010-07-26 2020-07-26 Common Stock, No Par Value 3500 3500 D Standard Employee Option - NSO 5.16 2011-06-16 2021-06-16 Common Stock, No Par Value 4500 4500 D Standard Employee Option - NSO 6.39 2012-05-01 2022-05-01 Common Stock, No Par Value 4500 4500 D Standard Employee Option - NSO 6.57 2013-04-30 2023-04-30 Common Stock, No Par Value 4500 4500 D Standard Employee Option - NSO 8.07 2014-02-27 2024-02-27 Common Stock, No Par Value 4500 4500 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.2920 to $13.4309, 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 (1) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.5000 to $13.5785, 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. /s/ Debbie Reuter as Attorney in fact for Robert Moles 2019-02-20