Robertson Clay Jones Jr. - 05 Mar 2026 Form 4 Insider Report for HERITAGE COMMERCE CORP (HTBK)

Role
President and CEO, Director
Signature
/s/Janisha Sabnani as Attorney-in-Fact for Robertson Clay Jones Jr.
Issuer symbol
HTBK
Transactions as of
05 Mar 2026
Net transactions value
$0
Form type
4
Filing time
09 Mar 2026, 20:15:37 UTC
Previous filing
06 May 2025
Next filing
10 Mar 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Jones Robertson Clay JR President and CEO, Director 224 AIRPORT PARKWAY, SAN JOSE /s/Janisha Sabnani as Attorney-in-Fact for Robertson Clay Jones Jr. 09 Mar 2026 0001788938

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HTBK Common Stock, No Par Value Options Exercise +16,390 +6.2% $10.74* 282,397 05 Mar 2026 Direct
transaction HTBK Common Stock, No Par Value Options Exercise +33,009 +12% $10.74* 315,406 05 Mar 2026 Direct
transaction HTBK Common Stock, No Par Value Tax liability -14,962 -4.7% $12.43* 300,444 05 Mar 2026 Direct F1
transaction HTBK Common Stock, No Par Value Tax liability -28,522 -9.5% $12.43* 271,922 05 Mar 2026 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HTBK Employee Stock Option (right to buy) Options Exercise -33,009 -100% $0.000000* 0 05 Mar 2026 Heritage Commerce Corp - Common Stock 33,009 $10.74 Direct
transaction HTBK Employee Stock Option (right to buy) Options Exercise -16,390 -100% $0.000000* 0 05 Mar 2026 Heritage Commerce Corp - Common Stock 16,390 $10.74 Direct
transaction HTBK Restricted Stock Unit Award +49,543 $0.000000* 49,543 05 Mar 2026 Common Stock, No Par Value 49,543 $0.000000 Direct F3, F4
holding HTBK Restricted Stock Unit 10,492 05 Mar 2026 Common Stock, No Par Value 10,492 $0.000000 Direct
holding HTBK Restricted Stock Unit 26,424 05 Mar 2026 Common Stock, No Par Value 26,424 $0.000000 Direct
holding HTBK Performance-Based Restricted Stock Unit 39,635 05 Mar 2026 Common Stock, No Par Value 39,635 $0.000000 Direct
holding HTBK Performance-Based Restricted Stock Unit 31,477 05 Mar 2026 Common Stock, No Par Value 31,477 $0.000000 Direct
holding HTBK Restricted Stock Unit 29,691 05 Mar 2026 Common Stock, No Par Value 29,691 $0.000000 Direct
holding HTBK Performance-Based Restricted Stock Unit 29,690 05 Mar 2026 Common Stock, No Par Value 29,690 $0.000000 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Net exercise of nonqualified stock options, 14,962 shares have been surrendered in satisfaction of the option exercise price and related taxes withholding.
F2 Net exercise of incentive stock options. 28,522 shares have been surrendered in satisfaction of the option exercise price.
F3 Each restricted stock unit represents a right to receive one share of Issuer common stock.
F4 The restricted stock units vest annually in three equal installments commencing on 03/05/2027, the first anniversary of the holder's grant date. The second tranche will vest on 03/05/2028. The remaining RSUs will vest on 3/5/2029.