Statement of Changes in Beneficial Ownership (4)
16 Junho 2023 - 3:18PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jones Robertson Clay JR |
2. Issuer Name and Ticker or Trading Symbol
HERITAGE COMMERCE CORP
[
HTBK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President and CEO |
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(Last)
(First)
(Middle)
224 AIRPORT PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/14/2023 |
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(Street)
SAN JOSE, CA 95110 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, No Par Value | 6/14/2023 | | M | | 19557 | A | $3.98 | 214207 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (right to buy) | $4.92 | | | | | | | 10/11/2019 | 1/29/2025 | Heritage Commerce Corp - Common Stock | 37050 | | 37050 | D | |
| Employee Stock Option (right to buy) | $10.74 | | | | | | | 10/11/2019 | 7/1/2028 | Heritage Commerce Corp - Common Stock | 49399 | | 49399 | D | |
| Performance-Based Restricted Stock Unit | $0 | | | | | | | 5/2/2026 | 5/2/2026 | Common Stock, No Par Value | 31477 | | 31477 | D | |
| Restricted Stock Unit | $0 | | | | | | | 5/2/2024 | 5/2/2026 | Common Stock, No Par Value | 31478 | | 31478 | D | |
| Employee Stock Option (right to buy) | $3.98 | 6/14/2023 | | M | | | 19557 (1) | 10/11/2019 | 1/30/2024 | Heritage Commerce Corp - Common Stock | 19557 | $0 | 17493 | D | |
| Explanation of Responses: |
| (1) | Net exercise of incentive stock options. The remaining 17,493 shares will be surrendered in satisfaction of the option exercise price. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Jones Robertson Clay JR
224 AIRPORT PARKWAY
SAN JOSE, CA 95110 | X |
| President and CEO |
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Signatures
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| Deborah Reuter as Attorney in fact for Robertson Clay Jones, JR. | | 6/16/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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