0001181431-14-012182.txt : 20140311 0001181431-14-012182.hdr.sgml : 20140311 20140311182156 ACCESSION NUMBER: 0001181431-14-012182 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140228 FILED AS OF DATE: 20140311 DATE AS OF CHANGE: 20140311 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: Carpenter Fund Manager GP, LLC CENTRAL INDEX KEY: 0001427461 STATE OF INCORPORATION: DE FISCAL YEAR END: 0607 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 14685551 BUSINESS ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 949-579-1448 MAIL ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carpenter Community BancFund-A, L.P. CENTRAL INDEX KEY: 0001427423 STATE OF INCORPORATION: DE FISCAL YEAR END: 1207 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25020 FILM NUMBER: 14685552 BUSINESS ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 949-579-1448 MAIL ADDRESS: STREET 1: 5 PARK PLAZA STREET 2: SUITE 950 CITY: IRVINE STATE: CA ZIP: 92614 3 1 rrd405142.xml X0206 3 2014-02-28 0 0000921547 HERITAGE OAKS BANCORP [HEOP] 0001427423 Carpenter Community BancFund-A, L.P. 5 PARK PLAZA SUITE 950 IRVINE CA 92614 0 0 1 0 0001427461 Carpenter Fund Manager GP, LLC 5 PARK PLAZA SUITE 950 IRVINE CA 92614 0 0 1 0 Common Stock 5491752 D Common Stock 5873016 I See footnote 2. Shares acquired pursuant to an Agreement and Plan of Merger, dated as of October 21, 2013 (the "Agreement") between Issuer and Mission Community Bancorp ("Mission"). Pursuant to the Agreement, holders of Mission common stock received 0.8477 shares (the "Shares") of Issuer's common stock for each share of Mission common stock held immediately prior to the effective time of the Merger, plus cash in lieu of fractional shares. By Carpenter Fund Manager GP, LLC ("Manager"). Reporting Person is the record holder of 5,491,752 Shares, Carpenter Community BancFund, L.P. is the record holder of 193,066 Shares, Carpenter Community BancFund-CA, LP (collectively, the "Funds") is the record holder of 188,198 Shares. As the general partner of each of the Funds, Manager is deemed to beneficially own 5,873,016 Shares but disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein. /s/ James B. Jones, Secretary 2014-03-11