0001144204-16-124755.txt : 20160921 0001144204-16-124755.hdr.sgml : 20160921 20160921163237 ACCESSION NUMBER: 0001144204-16-124755 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160912 FILED AS OF DATE: 20160921 DATE AS OF CHANGE: 20160921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LYNCH JAMES J CENTRAL INDEX KEY: 0001222379 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895908 MAIL ADDRESS: STREET 1: PATRIOT FINANCIAL PARTNERS, LP STREET 2: 2929 ARCH STREET, 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUBERT IRA M CENTRAL INDEX KEY: 0001203115 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895909 MAIL ADDRESS: STREET 1: C/O PENN. REAL ESTATE INVESTMENT TRUST STREET 2: 200 S. BROAD ST., THE BELLEVUE CITY: PHILADEPHIA STATE: PA ZIP: 19102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATRIOT FINANCIAL PARTNERS GP, LLC CENTRAL INDEX KEY: 0001470260 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895911 BUSINESS ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-399-4650 MAIL ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATRIOT FINANCIAL PARTNERS PARALLEL, L.P. CENTRAL INDEX KEY: 0001470114 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895912 BUSINESS ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-399-4650 MAIL ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATRIOT FINANCIAL PARTNERS LP CENTRAL INDEX KEY: 0001431719 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895913 BUSINESS ADDRESS: STREET 1: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-972-2200 MAIL ADDRESS: STREET 1: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATRIOT FINANCIAL PARTNERS GP, LP CENTRAL INDEX KEY: 0001470261 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895914 BUSINESS ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-399-4650 MAIL ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 161895910 MAIL ADDRESS: STREET 1: PATRIOT FINANCIAL PARTNERS, LP STREET 2: 2929 ARCH STREET, 27TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 3 1 v448955_3.xml OWNERSHIP DOCUMENT X0206 3 2016-09-12 0 0001053352 HERITAGE COMMERCE CORP HTBK 0001470261 PATRIOT FINANCIAL PARTNERS GP, LP 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 0001431719 PATRIOT FINANCIAL PARTNERS LP 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 0001470114 PATRIOT FINANCIAL PARTNERS PARALLEL, L.P. 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 0001470260 PATRIOT FINANCIAL PARTNERS GP, LLC 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 0000949197 WYCOFF W KIRK 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 0001203115 LUBERT IRA M 2929 ARCH STREET 27TH FLOOR PHILADEPHIA PA 19104 0 0 1 0 0001222379 LYNCH JAMES J 2929 ARCH STREET 27TH FLOOR PHILADELPHIA PA 19104 0 0 1 0 Common Stock 3784351 I See footnotes 1 and 3 Common Stock 652853 I See footnotes 1 and 4 This Form 3 is filed jointly by Patriot Financial Partners, GP, L.P. ("Patriot GP"), Patriot Financial Partners, L.P. (the "Patriot Fund"), Patriot Financial Partners Parallel, L.P. (the "Patriot Parallel Fund," and together with the Patriot Fund, the "Funds"), Patriot Financial Partners, GP, LLC ("Patriot LLC"), W. Kirk Wycoff, Ira M. Lubert and James J. Lynch (collectively, the "Reporting Persons"). Patriot GP is a general partner of each of the Funds and Patriot LLC is a general partner of Patriot GP. In addition, each of W. Kirk Wycoff, Ira M. Lubert and James J. Lynch are general partners of the Funds and Patriot GP and members of Patriot LLC. Accordingly, the Common Stock owned by the Funds may be regarded as being beneficially owned by Patriot GP, Patriot LLC and each of W. Kirk Wycoff, Ira M. Lubert and James J. Lynch. This filing shall not be deemed an admission that the Reporting Persons are subject to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or, for purposes of Section 16 of the Exchange Act or otherwise (other than to the extent a Reporting Person directly holds Common Stock reported herein) and Mr. Wycoff, Mr. Lubert and Mr. Lynch each disclaim beneficial ownership of the Common Stock owned by the Funds, except to the extent of their respective pecuniary interest therein. Shares of Common Stock owned directly by the Patriot Fund. Patriot GP is a general partner of the Patriot Fund. Shares of Common Stock owned directly by the Patriot Parallel Fund. Patriot GP is a general partner of the Patriot Parallel Fund. Patriot Financial Partners, GP, L.P. By: /s/ W. Kirk Wycoff, a member of Patriot Financial Partners, GP, LLC, the general partner of Patriot Financial Partners, GP, L.P. 2016-09-21 Patriot Financial Partners, L.P. By: /s/ W. Kirk Wycoff, a member of Patriot Financial Partners, GP, LLC, the general partner of Patriot Financial Partners, GP, L.P., the general partner of Patriot Financial Partners, L.P. 2016-09-21 Patriot Financial Partners Parallel, L.P. By: /s/ W. Kirk Wycoff, a member of Patriot Financial Partners, GP, LLC, the general partner of Patriot Financial Partners, GP, L.P., the general partner of Patriot Financial Partners Parallel, L.P. 2016-09-21 Patriot Financial Partners, GP, LLC By: /s/ W. Kirk Wycoff, a member of Patriot Financial Partners, GP, LLC, the general partner of Patriot Financial Partners, GP, L.P. 2016-09-21 /s/ W. Kirk Wycoff 2016-09-21 /s/ Ira M. Lubert 2016-09-21 /s/ James J. Lynch 2016-09-21