0001127602-16-062526.txt : 20160914 0001127602-16-062526.hdr.sgml : 20160914 20160914165610 ACCESSION NUMBER: 0001127602-16-062526 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160912 FILED AS OF DATE: 20160914 DATE AS OF CHANGE: 20160914 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WYCOFF W KIRK CENTRAL INDEX KEY: 0000949197 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161885557 MAIL ADDRESS: STREET 1: PATRIOT FINANCIAL PARTNERS, LP STREET 2: 2929 ARCH STREET, 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-09-12 0001053352 HERITAGE COMMERCE CORP HTBK 0000949197 WYCOFF W KIRK PATRIOT FINANCIAL PARTNERS, LP 2929 ARCH STREET, 27TH FLOOR PHILADELPHIA PA 19104 1 Common Stock 2016-09-12 4 A 0 1829000 3.75 A 3784351 I Indirect By Partnership Common Stock 2016-09-12 4 A 0 316000 3.75 A 652853 I Indirect By Partnership Series C Preferred Stock 3.75 2016-09-12 4 D 0 2145000 3.75 D 2010-08-26 2020-08-26 Heritage Commerce Corp - Common Stock 2145000 0 I Indirect by Partnership Standard Employee Option - NSO 5.16 2011-06-16 2021-06-16 Common Stock 4000 4000 D Standard Employee Option - NSO 6.39 2012-05-01 2022-05-01 Common Stock 4000 4000 D Standard Employee Option - NSO 6.57 2013-04-30 2023-04-30 Common Stock 4000 4000 D Standard Employee Option - NSO 8.07 2014-02-27 2024-02-27 Common Stock 4000 4000 D The shares of common stock acquired by Patriot Financial Partners, L.P. were acquired in exchange for shares of Series C Preferred Stock of the Issuer, using an exchange ratio equivalent to the conversion ratio of such Series C Preferred Stock. The securities are held by Patriot Financial Partners, L.P. (the "Patriot Fund") and Patriot Financial Partners Parallel, L.P. (the "Patriot Parallel Fund," together with the Patriot Fund, the "Funds"). Patriot Financial Partners, GP, L.P. ("Patriot GP") is a general partner of each of the Funds, and Patriot Financial Partners, GP, LLC ("Patriot LLC") is a general partner of Patriot GP. In addition, W. Kirk Wycoff is a general partner of the Funds and Patriot GP and a member of Patriot LLC. Accordingly, securities owned by the Funds may be regarded as being beneficially owned by Patriot GP, Patriot LLC and W. Kirk Wycoff. Mr. Wycoff disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16. The shares of common stock acquired by Patriot Financial Partners Parallel, L.P. were acquired in exchange for shares of Series C Preferred Stock of the Issuer, using an exchange ratio equivalent to the conversion ratio of such Series C Preferred Stock. The Series C Preferred Stock was automatically convertible following the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. Debbie Reuter as Attorney in fact for Kirk Wycoff 2016-09-14