Initial Statement of Beneficial Ownership (3)
July 08 2020 - 1:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Chalfant Tony |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/1/2020
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3. Issuer Name and Ticker or Trading Symbol
HERITAGE FINANCIAL CORP /WA/ [HFWA]
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(Last)
(First)
(Middle)
201 5TH AVE SW |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP Chief Credit Officer / |
(Street)
OLYMPIA, WA 98501
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 17211 | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1) | 1/15/2021 | 1/15/2021 | Common Stock | 701.0 (2) | $0.0 | D | |
Restricted Stock Units (3) | 3/15/2021 | 3/15/2022 | Common Stock | 1283.0 (4) | $0.0 | D | |
Restricted Stock Units (5) | 3/15/2021 | 3/15/2023 | Common Stock | 1914.0 (6) | $0.0 | D | |
Restricted Stock Units (5) | 6/15/2021 | 6/15/2026 | Common Stock | 7891.0 (7) | $0.0 | D | |
Explanation of Responses: |
(1) | RSU grant 2018 |
(2) | Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. One traunch remaining to vest 01/15/2021. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting. |
(3) | RSU granted 2019. |
(4) | Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Two traunches remaining to vest 3/15/2021 and 3/15/2022. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting. |
(5) | RSU granted 2020. |
(6) | Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting. |
(7) | Represents award pursuant to 2014 Omnibus Equity Plan; shares vest equally over a six year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Chalfant Tony 201 5TH AVE SW OLYMPIA, WA 98501 |
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| EVP Chief Credit Officer |
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Signatures
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/s/ Kaylene Lahn Attorney in Fact for Tony Chalfant | | 7/8/2020 |
**Signature of Reporting Person | Date |
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