0001127602-17-010484.txt : 20170306 0001127602-17-010484.hdr.sgml : 20170306 20170306185321 ACCESSION NUMBER: 0001127602-17-010484 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170302 FILED AS OF DATE: 20170306 DATE AS OF CHANGE: 20170306 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: Conner Jack W CENTRAL INDEX KEY: 0001305150 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 17669239 MAIL ADDRESS: STREET 1: HERITAGE COMMERCE CORP STREET 2: 150 ALMADEN BLVD. CITY: SAN JOSE STATE: CA ZIP: 95113 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-03-02 0001053352 HERITAGE COMMERCE CORP HTBK 0001305150 Conner Jack W HERITAGE COMMERCE CORP 150 ALMADEN BLVD. SAN JOSE CA 95113 1 Common Stock 2017-03-02 4 M 0 5500 7.43 A 100713 D Common Stock 2017-03-02 4 M 0 384 5.16 A 101097 D Common Stock 2017-03-02 4 M 0 5000 6.39 A 106097 D Common Stock 2017-03-02 4 M 0 500 6.39 A 106597 D Common Stock 2017-03-02 4 M 0 5797 6.57 A 112394 D Common Stock 2017-03-02 4 M 0 4536 8.07 A 116930 D Common Stock 2017-03-02 4 S 0 10833 14.139 D 106097 D Common Stock 7783 I Indirect By Spouse Standard Employee Option - NSO 7.43 2017-03-02 4 M 0 5500 0 D 2009-05-04 2019-05-04 Common Stock 5500 0 D Standard Employee Option - NSO 5.16 2017-03-02 4 M 0 384 0 D 2011-06-16 2021-06-16 Common Stock 384 0 D Standard Employee Option - NSO 6.39 2017-03-02 4 M 0 5000 0 D 2012-05-01 2022-05-01 Common Stock 5000 500 D Standard Employee Option - NSO 6.39 2017-03-02 4 M 0 500 0 D 2012-05-01 2022-05-01 Common Stock 500 0 D Standard Employee Option - NSO 6.57 2017-03-02 4 M 0 5797 0 D 2013-04-30 2023-04-30 Common Stock 5797 253 D Standard Employee Option - NSO 8.07 2017-03-02 4 M 0 4536 0 D 2014-02-27 2024-02-27 Common Stock 4536 1514 D Standard Employee Option - NSO 23.89 2007-05-04 2017-05-04 Common Stock 5000 5000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.0800 to $14.2200, inclusive. The reporting person undertakes to provide to Heritage Commerce Corp, any security holder of Heritage Commerce Corp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. Debbie Reuter as Attorney in fact for Jack Conner 2017-03-06