0001104659-15-080008.txt : 20151118 0001104659-15-080008.hdr.sgml : 20151118 20151118193033 ACCESSION NUMBER: 0001104659-15-080008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151117 FILED AS OF DATE: 20151118 DATE AS OF CHANGE: 20151118 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE OAKS BANCORP CENTRAL INDEX KEY: 0000921547 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770388249 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 545 12TH ST CITY: PASO ROBLES STATE: CA ZIP: 93446 BUSINESS PHONE: 8052395200 MAIL ADDRESS: STREET 2: 545 12TH ST CITY: PASO ROBLES STATE: CA ZIP: 93446 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pietrzak John CENTRAL INDEX KEY: 0001481798 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 151241968 MAIL ADDRESS: STREET 1: WEST COAST BANCORP STREET 2: 5335 MEADOWS ROAD, SUITE 201 CITY: LAKE OSWEGO STATE: OR ZIP: 97035 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERLO MARK G CENTRAL INDEX KEY: 0001332829 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 151241969 MAIL ADDRESS: STREET 1: 4500 MERCANTILE PLAZA DRIVE, SUITE 300 CITY: FORT WORTH STATE: TX ZIP: 76137 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS J MIKESELL CENTRAL INDEX KEY: 0001242722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 151241970 MAIL ADDRESS: STREET 1: 51 WEST 52ND ST 14TH FL CITY: NEW YORK STATE: NY ZIP: 10019 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: 000-25020 FILM NUMBER: 151241971 MAIL ADDRESS: STREET 1: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital IV LLC CENTRAL INDEX KEY: 0001569797 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 151241972 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 8587568300 MAIL ADDRESS: STREET 1: 6051 EL TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CASTLE CREEK CAPITAL PARTNERS IV, LP CENTRAL INDEX KEY: 0001459707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 151241973 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 8587568300 MAIL ADDRESS: STREET 1: 6051 EL TORDO STREET 2: P.O. BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 FORMER NAME: FORMER CONFORMED NAME: CASTLE CREEK CAPITAL PARTNERS IV LP DATE OF NAME CHANGE: 20090325 4 1 a4.xml 4 X0306 4 2015-11-17 1 0000921547 HERITAGE OAKS BANCORP HEOP 0001459707 CASTLE CREEK CAPITAL PARTNERS IV, LP C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001569797 Castle Creek Capital IV LLC C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001197257 EGGEMEYER JOHN M III C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001242722 THOMAS J MIKESELL C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001332829 MERLO MARK G C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 0001481798 Pietrzak John C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO RANCHO SANTA FE CA 92067 0 0 1 0 Heritage Oaks Bancorp Common Stock 2015-11-17 4 S 0 2000000 8.0002 D 1672638 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.24, inclusive. The reporting persons undertake to provide to Heritage Oaks Bancorp, any security holder of Heritage Oak Bancorp, 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. These securities are owned by Castle Creek Capital Partners IV, LP ("Fund IV"). Each of Castle Creek Capital IV LLC, John M. Eggemeyer III, J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak may also be deemed to be the beneficial owner of the 1,672,638 shares of Common Stock held directly by Fund IV. Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest in Fund IV, and this report shall not be deemed an admission that Castle Creek Capital IV LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. CASTLE CREEK CAPITAL PARTNERS IV, LP, By: /s/ John M. Eggemeyer III, Title: President 2015-11-18 CASTLE CREEK CAPITAL IV LLC, By: /s/ John M. Eggemeyer III, Title: President 2015-11-18 JOHN M. EGGEMEYER III, By: /s/ John M. Eggemeyer III 2015-11-18 J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas 2015-11-18 MARK G. MERLO, By: /s/ Mark G. Merlo 2015-11-18 JOHN T. PIETRZAK, By: /s/ John T. Pietrzak 2015-11-18