Statement of Changes in Beneficial Ownership (4)

Date : 05/03/2018 @ 1:44PM
Source : Edgar (US Regulatory)
Stock : Heritage Commerce Corp (HTBK)
Quote : 14.53  -0.18 (-1.22%) @ 6:03PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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
                      

1. Name and Address of Reporting Person *

Hallgrimson Steven L.
2. Issuer Name and Ticker or Trading Symbol

HERITAGE COMMERCE CORP [ HTBK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

150 ALMADEN BLVD.
3. Date of Earliest Transaction (MM/DD/YYYY)

5/1/2018
(Street)

SAN JOSE, CA 95113
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   5/1/2018     A    1190   (1) A $0   83628   D    
Common Stock                  16300   I   Indirect By Other Beneficiary Type  
Common Stock                  3000   I   Indirect By Spouse  
Common Stock                  2900   I   Indirect By Trust  
Common Stock                  2000   I   Personal IRA  
Common Stock                  4000   I   Private Foundation  
Common Stock                  3500   I   SEP IRA  
Common Stock                  7000   I   With Son in an LLC  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
Standard Employee Option - NSO   $6.39                    5/1/2012   5/1/2022   Common Stock   1172     1172   D    
Standard Employee Option - NSO   $6.57                    4/30/2013   4/30/2023   Common Stock   2169     2169   D    
Standard Employee Option - NSO   $8.07                    2/27/2014   2/27/2024   Common Stock   3004     3004   D    

Explanation of Responses:
(1)  Restricted stock award vests at the first anniversary of the grant date, subject to continuous employment with the Company.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Hallgrimson Steven L.
150 ALMADEN BLVD.
SAN JOSE, CA 95113
X



Signatures
/s/ Debbie Reuter as Attorney in fact for Steven L. Hallgrimson 5/3/2018
** 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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