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