Sec Form 4 Filing - Henning Thomas J @ HERITAGE FINANCIAL CORP /WA/ - 2021-03-15

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Henning Thomas J
2. Issuer Name and Ticker or Trading Symbol
HERITAGE FINANCIAL CORP /WA/ [ HFWA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP Chief Risk Officer
(Last) (First) (Middle)
201 5TH AVE SW
3. Date of Earliest Transaction (MM/DD/YY)
03/15/2021
(Street)
OLYMPIA, WA98501
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 03/15/2021 M 518 A $ 29.66 2,689 D
Common Stock 03/15/2021 M 589 A $ 29.66 3,278 D
Common Stock 03/15/2021 M 660 A $ 29.66 3,938 D
Common Stock 03/15/2021 F 420 D $ 29.66 3,518 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Restricted Stock Units $ 0 03/15/2021 M 518 03/15/2022 03/15/2022 Common Stock 518 $ 29.66 518 D
Restricted Stock Units $ 0 03/15/2021 M 589 03/15/2023 03/15/2023 Common Stock 589 $ 29.66 1,176 D
Restricted Stock Units ( 1 ) $ 0 03/15/2021 M 660 03/15/2021 03/15/2021 Common Stock 660 $ 29.66 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Henning Thomas J
201 5TH AVE SW
OLYMPIA, WA98501
EVP Chief Risk Officer
Signatures
/s/Kaylene Lahn Attorney in Fact for Thomas J Henning 03/16/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )RSU grant 2018

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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