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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (MM/DD/YY)
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3A. Deemed Execution Date, if any (MM/DD/YY)
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4. Transaction Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YY)
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7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (right to buy) |
$
2.49 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
12/31/2020 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
3
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
2.86 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
07/12/2021 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
4
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
2.76 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
12/31/2021 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
5
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
3.14 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/15/2022 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
6
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
3.01 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
12/31/2022 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
7
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
3.41 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/14/2023 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
8
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
3.77 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
12/31/2023 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
9
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
4.55 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/20/2024 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
10
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
4.85 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
12/31/2024 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
11
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
4.92 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/19/2025 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
12
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
5.5 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/17/2026 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
13
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
7.12 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/16/2027 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
14
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
10.77 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/08/2028 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
15
) |
2,470 |
D |
|
Employee Stock Option (right to buy) |
$
10.31 |
10/11/2019 |
|
A |
|
2,470 |
|
10/11/2019 |
05/08/2029 |
Heritage Commerce Corp - Common Stock |
2,470 |
(
16
) |
2,470 |
D |
|
|