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