1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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 |
Series B Preferred Stock
|
Â
(1)
|
Â
(2)
|
Heritage Commerce Corp - Common Stock
|
1,284,000
|
$
3.75
|
I
|
by Partnership
(3)
|
Series C Preferred Stock
|
Â
(4)
|
Â
(5)
|
Heritage Commerce Corp - Common Stock
|
3,456,000
|
$
3.75
|
I
|
by Partnership
(3)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
The Series B Preferred Stock is automatically convertible upon receipt shareholder approval of the conversion. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. |
(2) |
The Series B Preferred Stock is automatically convertible upon receipt shareholder approval of the conversion. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. |
(3) |
The securities are held by Castle Creek Capital Partners IV, LP ("Fund IV"). Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a Managing Principal of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16. |
(4) |
The Series C Preferred Stock is automatically convertible following (i) the receipt of shareholder approval of the conversion and, thereafter (ii) the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. |
(5) |
The Series C Preferred Stock is automatically convertible following (i) the receipt of shareholder approval of the conversion and, thereafter (ii) the subsequent transfer of the Series C Preferred stock to a transferee not affiliated with the holder in a widely dispersed offering. The Company has scheduled a Special Shareholder Meeting for September 15, 2010 to approve the conversion. |