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