4//SEC Filing
HERITAGE OAKS BANCORP 4
Accession 0001104659-15-080008
CIK 0000921547operating
Filed
Nov 17, 7:00 PM ET
Accepted
Nov 18, 7:30 PM ET
Size
13.6 KB
Accession
0001104659-15-080008
Insider Transaction Report
Form 4
Pietrzak John
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
THOMAS J MIKESELL
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
MERLO MARK G
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
CASTLE CREEK CAPITAL PARTNERS IV, LP
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
Castle Creek Capital IV LLC
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
EGGEMEYER JOHN M III
10% Owner
Transactions
- Sale
Heritage Oaks Bancorp Common Stock
2015-11-17$8.00/sh−2,000,000$16,000,400→ 1,672,638 total
Footnotes (2)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.24, inclusive. The reporting persons undertake to provide to Heritage Oaks Bancorp, any security holder of Heritage Oak Bancorp, 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.
- [F2]These securities are owned by Castle Creek Capital Partners IV, LP ("Fund IV"). Each of Castle Creek Capital IV LLC, John M. Eggemeyer III, J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak may also be deemed to be the beneficial owner of the 1,672,638 shares of Common Stock held directly by Fund IV. Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest in Fund IV, and this report shall not be deemed an admission that Castle Creek Capital IV LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Documents
Issuer
HERITAGE OAKS BANCORP
CIK 0000921547
Entity typeoperating
IncorporatedCA
Related Parties
1- filerCIK 0000921547
Filing Metadata
- Form type
- 4
- Filed
- Nov 17, 7:00 PM ET
- Accepted
- Nov 18, 7:30 PM ET
- Size
- 13.6 KB